HS
Heath D. Slain
BFC PLANNING
UPLAND, IN 46989
Some features on this profile are disabled
CRD#: 6835190
HS
Professional summary
Heath David Slain is a registered financial advisor currently at BFC PLANNING, INC. located in Upland, Indiana and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Upland, Indiana.
Heath is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Heath has worked at 4 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. Upland Liquor, LLC- N- Upland, IN- Beverage business- Co-owner- 01/2021- 20- 0- Order product, stocking, and scheduling. 2. Ivanhoe's- N- Upland, IN- Restaurant- Manager- 01/2023- 120- 30- Oversee food service, customer and labor relations. 3. Aurem Asset Management- Y- Upland, IN- DBA for securities business- Financial Professional- 04/2024- 30- 30- Provide financial and securities-related advice. 4. Aurem Asset Management- Y- Upland, IN- Fixed insurance- Insurance agent- 04/2024- 3- 3- Sales of insurance products. 5. Town of Upland, IN- N- Upland, IN- Town Council- Councilman- 09/2024- 10- 0- Vote on town matters such as street and utility issues.
CRS (Client Relationship Summary) - RIA
Click below to view Heath David Slain'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
April 1, 2024 - Present
BFC PLANNING, INC.
Office #1: 69 Hope Dr Apt B, Upland, IN 46989RIA
CRD#: 119682
UPLAND, IN
Current
April 1, 2024 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 69 Hope Dr Apt B, Upland, IN 46989RIA
BD
CRD#: 13609
Upland, IN
Past
November 26, 2018 - March 28, 2024
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Marion, IN
Past
November 26, 2018 - March 28, 2024
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Marion, IN
Past
October 9, 2017 - December 31, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MARION, IN
Past
August 8, 2017 - December 31, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MARION, IN
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
Indiana(4/1/2024)
IAR
Indiana(4/1/2024)
RR
North Carolina(4/1/2024)
RR
Texas(3/5/2025)
RR
Wisconsin(11/12/2024)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
