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4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-01-22 |
| IA | RA | APPROVED | 2002-01-01 |
Branch Locations
4201 42Nd Street Suite 100, Cedar Rapids, IA 52402 • United States
4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-03-08 |
| IA | RA | APPROVED | 2001-01-01 |
Branch Locations
4201 42Nd Street Ne, Suite 100, Cedar Rapids, IA 52402-7101 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Berthel, Fisher & Company Financial Services Inc | Cedar Rapids | IA | 06/1985 | Present |
| Bfc Planning, Inc. | Cedar Rapids | IA | 01/2016 | Present |
| Securities Management & Research, Inc. | Cedar Rapids | IA | 06/2011 | Present |
1. THOMAS J BERTHEL - INSURANCE-Y-Cedar Rapids, IA 52302-INSURANCE SALES-AGENT-1/1/1975-10-10-INSURANCE SALES. 2. TJ BERTHEL ENTERPRISES DEVELOPMENT LLC-N-4900 OAK GROVE RD NE, CEDAR RAPIDS, IA 52402-REAL ESTATE LAND DEVELOPMENT-MANAGING MEMBER-6/1/2007-1-0-REAL ESTATE DEVELOPMENT. 3. ST. AMBROSE BOARD OF TRUSTEES-N-DAVENPORT, IA-COLLEGE-BOARD MEMBER-11/1/2008-1-0-BOARD MEMBER. 4. BEYOND X'S & O'S-N-4900 OAK GROVE RD NE, CEDAR RAPIDS, IA 52402-BOOK-AUTHOR-7/14/2010-1 TO 2 HRS-0-BOOK PROMOTION. 5. Family First Financial Strategies-Y-Cedar Rapids, IA-Private Client Rep-Consultant-03/2023-10- 10 -Private client rep/IAR Business. Consult on retirement & non-retirement accounts including insurance 6.Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Company (Chairman of Board/Executive Vice President), Berthel Fisher & Co. Financial Services, Inc. (Chairman of Board/Executive Vice President), Berthel Fisher & Company Insurance, Inc.(Chairman of Board/Executive Vice President), BFC Planning, Inc.(Chairman of Board/Executive Vice President), One Financial (Chairman of Board/Executive Vice President), Securities Management & Research, Inc. (Chairman of Board/Executive Vice President) -Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services. 7. Berthel-Satler Construction- N- Cedar Rapids, IA- LLC for home building- Co-owner- 10/2022- 0- 0- Building homes on lots previously purchased by TJ Berthel Development. 8. Berthel Financial Professional- Y- Prosper, TX- Private client wealth management- Financial Professional- 06/2023- 10- 10- DBA for private client wealth management group. 9. TJ Berthel Development- N- Cedar Rapids, IA- Owner- 01/2005- 1- 0- Real estate development. 10. Castella Home Owners Association- N- Bonita Springs, FL- Board Member- 07/2026- 5- 0- Appointed treasurer of home owners association. 11. Berthel Enterprises LLC- N- Prosper, TX- Franchise owner of Midwest Shooting Range Center- Preferred Shareholder and member-08/2026- 0- 0- Shareholder of the shooting range franchise.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-02-11 |
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