Shaan A. Smith

BFC PLANNING

JACKSONVILLE, IL 62650

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CRD#: 8011567

Professional summary

Shaan Anthony Smith is a registered financial advisor currently at BFC PLANNING, INC. located in Jacksonville, Illinois and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Jacksonville, Illinois.

Shaan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Shaan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

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. Farm land rental- N- Jacksonville, IL- Farm land rental- Landlord- 02/2025- 0-0- Collect rent on farm land. 2. Dearborn Life Insurance Company- Y- Jacksonville, IL- Insurance sales- Agent- 01/2025- 20- 20- Servicing and originating insurance sales. 3. Beard Financial Group LLC- Y- Jacksonville, IL- DBA for securities business- Financial Professional- 04/2026- 160- 160- Sales and advice on securities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaan Anthony Smith'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

January 9, 2025 - Present

BFC PLANNING, INC.

Office #1: 229 S Main St Suite 102, Jacksonville, IL 62650

RIA

CRD#: 119682

JACKSONVILLE, IL

Current

November 23, 2024 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 229 S Main St Suite 102, Jacksonville, IL 62650

RIA

CRD#: 13609

JACKSONVILLE, IL

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

Alabama
(6/1/2026)

Arizona
(1/5/2026)

Arkansas
(1/5/2026)

California
(2/6/2025)

Florida
(1/5/2026)

Illinois
(1/9/2025)

IAR

Illinois
(1/9/2025)

Indiana
(1/5/2026)

Iowa
(1/5/2026)

Missouri
(2/6/2025)

North Carolina
(5/14/2025)

Oklahoma
(1/5/2026)

Texas
(1/5/2026)

Washington
(1/5/2026)

Wisconsin
(12/18/2025)

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: 1/3/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/23/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/21/2024

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)

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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

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.

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Shaan A. Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaan Anthony Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BFC PLANNING, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2025

Series 7TO

Date: 11/23/2024

SIE

Date: 9/21/2024

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

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