Andrew A. Johnson

BFC PLANNING

Cedar Rapids, IA 52402

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CRD#: 5169456

Professional summary

Andrew Austin Johnson is a registered financial advisor currently at BFC PLANNING, INC. located in Cedar Rapids, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. OUR REDEEMER LUTHERAN CHURCH- N- INDEPENDENCE, IA- VICE PRESIDENT- 02/2022- 2-0- CHURCH BOARD MEMBER. 2. BOY SCOUT TROOP 47- N- INDEPENDENCE, IA- TREASURER- 02/2022- 2-0- BALANCE CHECKING ACCOUNT FOR TROOP BY PAYING TROOP FEES, DEPOSITING FUNDS COLLECTED, AND MAINTAINING RECEIPTS. ALL CHECKS WRITTEN FROM THE ACCOUNT ARE DUAL SIGNATURE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Austin Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 10, 2022 - Present

BFC PLANNING, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

RIA

CRD#: 119682

Cedar Rapids, IA

Current

February 10, 2022 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

RIA

CRD#: 13609

Cedar Rapids, IA

Current

February 10, 2022 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

RIA

CRD#: 13609

Cedar Rapids, IA

Current

February 10, 2022 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

CRD#: 759

Cedar Rapids, IA

Past

January 15, 2020 - February 7, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Fairfield, IA

Past

October 22, 2018 - February 7, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

November 18, 2014 - October 22, 2018

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

Past

August 29, 2007 - October 22, 2018

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

Cedar Rapids, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BFC PLANNING, INC.

1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC

CRD#: 119682 / SEC#: 801-67427

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Iowa

Registered Investment Advisory firm - (3/5/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Iowa
(2/10/2022)

IAR

Iowa
(2/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/27/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/28/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/5/2008

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

BFC PLANNING, INC.

CRD#: 119682 / SEC#: 801-67427

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Iowa

Registered Investment Advisory firm - (3/5/2007 Terminated)

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Contact information

Main Address

4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

Mailing Address

Phone number

(319) 447-5700

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BFC PLANNING ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	8,756
AUM (Assets Under Management)	$ 2,026,848,859

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Andrew A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Austin Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2019

Series 63

Date: 10/30/2007

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/27/2008

Series 7

Date: 8/28/2007

Series 24

Date: 1/25/2013

Series 4

Date: 11/5/2008

FINRA

Current Firm

BFC PLANNING, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BFC PLANNING, INC.

TRUST BUT VERIFY

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