Gerard S. Diaz

BFC PLANNING

Henderson, NV 89014

Some features on this profile are disabled

CRD#: 6970834

Professional summary

Gerard Stephen Diaz, who also goes by Gerard Diaz, is a registered financial advisor currently at BFC PLANNING, INC. located in Henderson, Nevada and SECURITIES MANAGEMENT & RESEARCH, INC. located in Henderson, Nevada.

Gerard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Gerard has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gerard Diaz

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.

Oakbay Insurance- N- Henderson, NV- Fixed Insurance- Jr. Advisor- 05/2025- 120- 0- Prepare insurance illustrations and help clients to make inform decisions regarding their insurance needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerard Stephen Diaz'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

June 12, 2025 - Present

BFC PLANNING, INC.

Office #1: 375 N Stephanie St Building 20, Henderson, NV 89014

RIA

CRD#: 119682

Henderson, NV

Current

June 12, 2025 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

Office #1: 375 N Stephanie Street Building 20, Henderson, NV 89014

CRD#: 759

Henderson, NV

Past

October 31, 2024 - March 13, 2025

TLG ADVISORS, INC.

RIA

CRD#: 111052

Los Angeles, CA

Past

October 30, 2024 - March 13, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

Los Angeles, CA

Past

March 30, 2022 - October 15, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Las Vegas, NV

Past

March 14, 2022 - October 15, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Las Vegas, NV

Past

June 12, 2020 - January 26, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Las Vegas, NV

Past

March 12, 2020 - January 26, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Las Vegas, NV

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

Nevada
(6/12/2025)

IAR

Nevada
(6/12/2025)

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: 5/27/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/12/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/17/2019

Securities Industry Essentials 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)

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

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.

Similar Advisors

Michael Beatty

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Las Vegas, NV

Kenneth Young

TRANSAMERICA FINANCIAL ADVISORS, LLC

IAR

Las Vegas, NV

Jodie Cohen-potter

LPL FINANCIAL LLC

IAR

LAS VEGAS, NV

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gerard S. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerard Stephen Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2020

Series 7TO

Date: 3/12/2020

SIE

Date: 10/17/2019

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

Similar Advisors