James A. Bowers

BFC PLANNING

Athens, GA 30601

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CRD#: 5289266

Professional summary

James Augustus Bowers III, who also goes by James Augustus Bowers III, Jay Bowers, is a registered financial advisor currently at BFC PLANNING, INC. located in Athens, Georgia and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Athens, Georgia.

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 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Augustus Bowers Iii | Jay Bowers

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.Panoramic Wealth Strategies-Y-Gainesville, GA-Financial Advisory-Financial Advisor-08/2019-200-130-Financial Advisory including independent fixed insurance business. 2.Eagle 1, LLC-N-Gainesville, GA-Shell Company-Managing Member-11/2003-0-0-Shell Company for payroll services and business expenses. 3.Panoramic Wealth Strategies-N-Gainesville, GA-Insurance-Financial Advisor-01/2020-20-10-Provide Life, LTC and Disability insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Augustus Bowers III'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

August 6, 2019 - Present

BFC PLANNING, INC.

Office #1: 325 N. Milledge Avenue, Athens, GA 30601

RIA

CRD#: 119682

Athens, GA

Current

August 5, 2019 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 325 N. Milledge Avenue, Athens, GA 30601

RIA

CRD#: 13609

Athens, GA

Past

April 14, 2016 - August 27, 2019

BAY FINANCIAL ADVISORS, INC.

RIA

CRD#: 130576

Athens, GA

Past

December 22, 2015 - August 13, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATHENS, GA

Past

December 18, 2015 - August 13, 2019

LPL FINANCIAL LLC

CRD#: 6413

ATHENS, GA

Past

July 2, 2012 - December 24, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

ATHENS, GA

Past

June 24, 2009 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

ATHENS, GA

Past

May 29, 2008 - December 21, 2015

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ATHENS, GA

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

Florida
(11/12/2021)

Georgia
(8/6/2019)

IAR

Georgia
(8/6/2019)

South Carolina
(8/9/2019)

Texas
(5/28/2025)

Wyoming
(8/13/2019)

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: 6/9/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2008

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 A. Bowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Augustus Bowers III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BAY FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2009

Series 63

Date: 6/20/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2008

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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