VP Compliance/osj Manager · BFC Planning, Inc.
Randy Austin Wilcox
CRD 4346998 · Named on Form ADV at 2 SEC-registered advisers
At a glance
BFC Planning, Inc., an SEC-registered wealth manager based in Cedar Rapids, IA with $3.8 billion in regulatory assets, lists Randy Austin Wilcox on its Form ADV as VP Compliance/osj Manager. The SEC filings also name Randy at 1 other registered adviser.
Firms and roles
- BFC Planning, Inc.VP Compliance/osj ManagerWealth manager · Cedar Rapids, IA · $3.8B in regulatory assets
- Berthel Fisher & Company Financial Services, Inc.Vice President Compliance/osj ManagerBroker-dealer firm · Cedar Rapids, IA · $906M in regulatory assets
AtlasMembers
Randy’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Randy’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (12)
- Thomas Joseph BerthelChairman of Board, BFC Planning, Inc.
- Joanna Marie SchaulSecretary, BFC Planning, Inc.
- Andrew James ChristoffersonChief Executive Officer/president, BFC Planning, Inc.
- Brian RuppVice President/controller/treasurer, BFC Planning, Inc.
- Paige Nichole SwartzendruberChief Business Development Officer, BFC Planning, Inc.
7 more people named with Randy on the same filings, with titles and firms. Free in Atlas with a free account.
See all 12 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Randy’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.