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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 | 2016-07-20 |
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 |
|---|---|---|---|---|
| Berthel Fisher & Company Financial Services, Inc. | Cedar Rapids | IA | 11/2007 | Present |
| Bfc Planning, Inc. | Cedar Rapids | IA | 07/2016 | Present |
| Securities Management & Research | Cedar Rapids | IA | 04/2017 | Present |
| Berthel Fisher & Company Insurance, Inc. | Cedar Rapids | IA | 03/2019 | Present |
| Berthel Fisher & Company | Cedar Rapids | IA | 03/2019 | Present |
1. PAIGE SWARTZENDRUBER-Y-Cedar Rapids, IA 52302-INSURANCE SALES-AGENT-4/2010-10 HRS-10 HRS-INSURANCE SALES. 2. Family First Financial Strategies-Y-Cedar Rapids, IA- Financial Professional-03/2023-10-10-Work w/ clients on retirement and non-retirement accounts including insurance. 3. Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Company (SVP Business Development), Berthel Fisher & Co. Financial Services, Inc. (SVP Business Development/Director), Berthel Fisher & Company Insurance, Inc. (SVP Business Development/Director), Securities Management & Research, Inc. (SVP Business Development/Director), Berthel Fisher & Company (Assistant Secretary), BFC Planning, Inc. (SVP Business Development/Director)-Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-23 |
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