James R. Caldwell

BFC PLANNING

Bismarck, ND 58501

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CRD#: 5276864

Professional summary

James Robert Caldwell JR., who also goes by James Robert Caldwell, Jay Caldwell, is a registered financial advisor currently at BFC PLANNING, INC. located in Bismarck, North Dakota and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Jamestown, North Dakota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Robert Caldwell | Jay Caldwell

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. Freedom Financial Group-Y-Bismarck, ND-Securities and Insurance-Registered Representative-02/2019-180-80-Sale of Securities, Insurance, Brokerage business. 2. Notary-N-Bismarck, ND-Notary Public-Notary-01/2020-1-1-Notarizing documents for clients in the state of ND. 3. Hallett Financial Group-N-Bismarck, ND-Insurance Sales-Insurance Agent-02/2019-160-160-Insurance consulting including Life, Disability and LTC. 4. JMN Roots LLC-N-Bismarck, ND-Manage Property-Manager-05/2021-5-2-Manage property, collect rent, pay expenses, property maintenance and obtain financing.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Caldwell JR.'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 11, 2019 - Present

BFC PLANNING, INC.

Office #1: 212 N 2nd Street, Bismarck, ND 58501

RIA

CRD#: 119682

Bismarck, ND

Current

February 4, 2019 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 920 10th Street Suite A, Jamestown, ND 58401Office #2: 212 N 2nd Street, Bismarck, ND 58501

RIA

CRD#: 13609

Jamestown, ND

Past

September 14, 2015 - February 7, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

BISMARCK, ND

Past

September 4, 2015 - February 7, 2019

SECURITIES AMERICA, INC.

CRD#: 10205

BISMARCK, ND

Past

September 5, 2012 - September 15, 2015

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

July 22, 2011 - September 15, 2015

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

December 15, 2008 - July 5, 2011

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

October 20, 2008 - November 7, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

THE VILLAGES, FL

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

Arizona
(7/3/2025)

Arkansas
(9/11/2025)

Colorado
(8/18/2020)

Florida
(2/4/2019)

Michigan
(2/4/2019)

Minnesota
(2/4/2019)

Missouri
(1/16/2020)

New Hampshire
(1/15/2025)

North Carolina
(8/19/2024)

North Dakota
(2/4/2019)

IAR

North Dakota
(2/11/2019)

Oklahoma
(11/5/2025)

Pennsylvania
(1/27/2025)

South Dakota
(2/4/2019)

Texas
(9/22/2021)

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 66

Date: 9/4/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2008

General Securities Representative 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

James R. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Caldwell JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CURIAN CAPITAL, LLC

CURIAN CLEARING, LLC

TRANSAMERICA CAPITAL, LLC

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2012

SIE

Date: 10/1/2018

Series 7

Date: 10/17/2008

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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