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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

THOMAS CARLOS NIEVES

Advisor at BFC PLANNING, INC.

West Palm Beach, FL | CEDAR RAPIDS, IA

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Search this name across graphsid dfx:ria:be35eaa6-ba13-aa4c-974f-7877180f24d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 15, 1997 to Sep 14, 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: Sep 9, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 9, 1996
First registration: Dec 15, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 2794262

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	Dec 12, 2025	n/a	yes	CEDAR RAPIDS, IA\|West Palm Beach, FL	Current employment
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Jan 22, 2020	Nov 10, 2025	no	Woodland Hills, CA\|ANAHEIM, CA\|West Palm Beach, FL	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Mar 18, 2011	Jan 17, 2020	no	LOS ANGELES, CA\|WOODLAND HILLS, CA\|WOODLAND HILLS, CA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 19, 2010	Dec 1, 2010	no	HOUSTON, TX\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 15, 1997	Sep 17, 2003	no	WOODLAND HILLS, CA	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
CENTAURUS FINANCIAL, INC.	BFC PLANNING, INC.	Nov 10, 2025	Dec 12, 2025	32	Firm change	Ibd to ibd
SUMMIT FINANCIAL GROUP INC	CENTAURUS FINANCIAL, INC.	Jan 17, 2020	Jan 22, 2020	5	Firm change	Ibd to ibd
VOYA FINANCIAL ADVISORS, INC.	SUMMIT FINANCIAL GROUP INC	Dec 1, 2010	Mar 18, 2011	107	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	VOYA FINANCIAL ADVISORS, INC.	Sep 17, 2003	Jan 19, 2010	2,316	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109485:30833:CA:2020-01-17	Jan 17, 2020	Jan 22, 2020	WOODLAND HILLS, CA	Firm change

Relationships

Registered with (5)

→ BFC PLANNING, INC.Registered adviserregistration: current employment
Dec 12, 2025 to presentfactForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Jan 22, 2020 to Nov 10, 2025factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Mar 18, 2011 to Jan 17, 2020factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 19, 2010 to Dec 1, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 15, 1997 to Sep 17, 2003factForm ADV

Dated events

Occurred
Nov 10, 2025
Advisor changed firm
Thomas Carlos Nieves left Centaurus Financial, Inc. for Bfc Planning, Inc. (registered 2025-12-12)
Form ADVobserved 6 days ago