JP
James D. Peters
BFC PLANNING
NORTH MANKATO, MN 56003
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CRD#: 5734019
JP
Professional summary
James Dale Peters is a registered financial advisor currently at BFC PLANNING, INC. located in North Mankato, Minnesota and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in North Mankato, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 6 firms and has passed the Series 63, SIE and Series 7 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. Investment Management & Associates- Y- North Mankato, MN- DBA for securities and insurance business- Financial Professional- 07/2015- 160- 120- Securities and insurance sales. 2. FIXED INSURANCE SALES- N- North Mankato, MN- Fixed insurance- Agent- 07/2015- 12- 4- Sales of fixed insurance products. 3. ALUMNI ADVISORY BOARD MEMBER FOR THE SIGMA CHI CHAPTER AT MINNESOTA STATE UNIVERSITY MANKATO- N- Mankato, MN- Alumni Advisory Board Member- 10/2019- 3- 0- Mentor fraternity members in leadership development and participate in chapter events. 4. The Peters Family Partnership- N- Brownton, MN- Family partnership for estate planning- Partner- 10/1996- 2- 1- Advising other partners on investments and general upkeep on partnership properties. 5. American Legion Post 518- N- North Mankato, MN- Service organization for veterans and the community- 1st Vice Commander- 06/2024- 2- 0- Attend meetings and volunteer activities, and assume duties of the Post Commander in his absence. 6. Sigma Chi Alumni Advisory Board at the University of St. Thomas- N- St. Paul, MN- Alumni Advisory Board Member- 10/2025- 2- 0- Mentoring undergraduate members of the Sigma Chi Fraternity at the University of St. Thomas
CRS (Client Relationship Summary) - RIA
Click below to view James Dale Peters's 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®
NoneExperience
Current
May 24, 2024 - Present
BFC PLANNING, INC.
Office #1: 1445 Lookout Dr, North Mankato, MN 56003RIA
CRD#: 119682
NORTH MANKATO, MN
Current
May 24, 2024 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 1445 Lookout Dr, North Mankato, MN 56003RIA
BD
CRD#: 13609
North Mankato, MN
Past
November 27, 2017 - June 3, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
NORTH MANKATO, MN
Past
November 27, 2017 - June 3, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NORTH MANKATO, MN
Past
July 27, 2015 - November 28, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
NORTH MANKATO, MN
Past
July 27, 2015 - November 28, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
NORTH MANKATO, MN
Past
December 12, 2013 - August 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GAYLORD, MN
Past
December 21, 2009 - August 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
GAYLORD, MN
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".
BP
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)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.RR
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
RR
Arizona(6/4/2024)
RR
California(5/24/2024)
RR
Colorado(6/5/2024)
RR
Florida(5/28/2024)
RR
Iowa(5/24/2024)
RR
Maryland(6/10/2024)
IAR
Minnesota(5/24/2024)
RR
Minnesota(6/4/2024)
RR
Missouri(6/6/2024)
RR
South Carolina(6/5/2024)
RR
South Dakota(6/5/2024)
RR
Virginia(6/5/2024)
RR
Wisconsin(5/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
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)Upgrade to AdvisorCheck Premium
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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
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.
