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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JAMES AUGUSTUS BOWERS

Advisor at BFC PLANNING, INC.

CEDAR RAPIDS, IA | Athens, GA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BFC PLANNING, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 20, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 20, 2008
First registration: Jun 24, 2009
Dual registered: yes, broker-dealer
Other names: Jay Bowers|JAMES AUGUSTUS BOWERS III
IAPD individual key: 5289266

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BFC PLANNING, INC.	Bd affiliated wealth	Aug 6, 2019	n/a	yes	CEDAR RAPIDS, IA\|Athens, GA	Current employment
BAY FINANCIAL ADVISORS, INC.	n/a	Apr 14, 2016	Aug 27, 2019	no	Athens, GA\|WALTHAM, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 22, 2015	Aug 13, 2019	no	ATLANTA, GA\|ATHENS, GA\|GAINESVILLE, GA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Dec 24, 2015	no	CHESTERFIELD, MO\|ATHENS, GA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jun 24, 2009	Jul 2, 2012	no	ATHENS, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BAY FINANCIAL ADVISORS, INC.	BFC PLANNING, INC.	Aug 27, 2019	Aug 6, 2019	-21	Firm change	Other
LPL FINANCIAL LLC	BAY FINANCIAL ADVISORS, INC.	Aug 13, 2019	Apr 14, 2016	-1,216	Firm change after gap	Other
FIRST ALLIED ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Dec 24, 2015	Dec 22, 2015	-2	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other

Relationships

Registered with (5)

→ BFC PLANNING, INC.Registered adviserregistration: current employment
Aug 6, 2019 to presentfactForm ADV
→ BAY FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 14, 2016 to Aug 27, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 22, 2015 to Aug 13, 2019factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Dec 24, 2015factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jun 24, 2009 to Jul 2, 2012factForm ADV

Dated events

No dated event names this entity yet.