PW
Peyton J. Wagner
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52410-1340
Some features on this profile are disabled
CRD#: 6335799
PW
Professional summary
Peyton James Wagner is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and BFC PLANNING, INC. located in Cedar Rapids, Iowa.
Peyton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Peyton has worked at 2 firms and has passed the Series 66, 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.Wrestling Coach-N-Marion, IA-Wrestling Coach-Coach-11/2019-12-0-Coaching youth wrestlers two times/wk along w/ tournaments on the weekends. 2.Wagner Investment Group-N-Cedar Rapids, IA-Financial Services-Registered Representative-02/2020-160-160-DBA name for Financial Services & Planning. 3.BP Wagner Farms LLC-N-Cedar Rapids, IA-Farm Land-Owner-03/2020-0-0-Own 40 acres of raw land and recreation and hold it in LLC name for tax/liability purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Peyton James Wagner'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
October 10, 2016 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
November 11, 2016 - Present
BFC PLANNING, INC.
Office #1: 4201 42nd Street Suite 100, Cedar Rapids, IA 52402RIA
CRD#: 119682
Cedar Rapids, IA
Current
July 15, 2016 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
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".
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(4/18/2018)
RR
California(4/18/2018)
RR
Colorado(10/17/2019)
RR
Florida(4/18/2018)
RR
Georgia(11/18/2019)
RR
Illinois(4/18/2018)
RR
Indiana(2/3/2017)
IAR
Iowa(10/10/2016)
RR
Iowa(10/20/2016)
RR
Kansas(1/5/2022)
RR
Kentucky(4/18/2018)
RR
Louisiana(4/1/2020)
RR
Maine(8/27/2025)
RR
Minnesota(4/18/2018)
RR
Missouri(4/18/2018)
RR
New Jersey(10/18/2024)
RR
New York(9/30/2022)
RR
Ohio(2/6/2020)
RR
Oklahoma(1/7/2025)
RR
Pennsylvania(4/18/2018)
RR
South Carolina(6/16/2021)
RR
Texas(4/18/2018)
RR
Washington(7/17/2023)
RR
Wisconsin(1/16/2020)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
BFC PLANNING, INC.
CRD#: 119682Cedar Rapids, IA 52410-1340TRUST BUT VERIFY
Monitor Peyton Wagner
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
