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4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2015-01-05 |
Branch Locations
4201 42Nd Street Ne, Suite 100, Cedar Rapids, IA 52402-7101 • United States
4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2012-09-20 |
Branch Locations
4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities Management & Research, Inc. | Cedar Rapids | IA | 09/2012 | Present |
| Bfc Planning, Inc. | Cedar Rapids | IA | 09/2012 | Present |
| Berthel Fisher & Company Financial Services, Inc. | Cedar Rapids | IA | 06/2013 | Present |
| Berthel Fisher & Company Insurance, Inc. | Cedar Rapids | IA | 03/2019 | Present |
1.Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Co. Financial Services, Inc. (Chief Executive Officer/President), Berthel Fisher & Company Insurance, Inc. (Chief Executive Officer/President), BFC Planning, Inc. (Chief Executive Officer/President), Securities Management & Research, Inc. (Chief Executive Officer/President), Berthel Fisher & Company Investments, Inc. (Chief Executive Officer/President)-Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-29 |
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