CW
Carl E. Wallin
BFC PLANNING
Fargo, ND 58104
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CRD#: 7072741
CW
Professional summary
Carl Eric Wallin, who also goes by Carl Wallin, is a registered financial advisor currently at BFC PLANNING, INC. located in Fargo, North Dakota and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Fargo, North Dakota.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Carl has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Wallin
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. Colonial Life- N- Fargo, ND- Supplemental Insurance- Agent- 11/2018- 15- 5- Sell supplemental insurance products to small businesses. 2. RC Boot c-amp- N- Rapid City, SD- Fitness Gym- Co-owner- 03/2022- 5- 0- Part owner of boot camp-style gym, but do not play an active role in daily management duties.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Eric Wallin'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
January 31, 2023 - Present
BFC PLANNING, INC.
Office #1: 3788 55th Ave S Suite 210, Fargo, ND 58104RIA
CRD#: 119682
Fargo, ND
Current
January 26, 2023 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 3788 55th Ave S Suite 210, Fargo, ND 58104RIA
BD
CRD#: 13609
Fargo, ND
Past
July 1, 2019 - January 25, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Fargo, ND
Past
March 11, 2019 - January 25, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Fargo, ND
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(1/26/2023)
RR
California(1/26/2023)
RR
Colorado(1/26/2023)
RR
Florida(10/29/2024)
RR
Georgia(10/24/2025)
RR
Michigan(10/24/2025)
RR
Minnesota(1/26/2023)
RR
New York(1/26/2023)
RR
North Dakota(1/26/2023)
IAR
North Dakota(1/31/2023)
RR
South Dakota(1/26/2023)
RR
Texas(1/26/2023)
RR
Washington(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/11/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
BFC PLANNING, INC.
CRD#: 119682Fargo, ND 58104TRUST BUT VERIFY
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