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Current Employers
Berthel, Fisher & Company Financial Services, Inc.

4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2007-07-11
  • IA RA
    APPROVED
    Since 2007-07-11

Branch Locations

118 West 3Rd Street, #1, Ottumwa, IA 52501 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Berthel, Fisher & Company Financial Services, Inc. Ottumwa IA 04/1985 Present
Other Businesses

1.TRAVELERS PROTECTIVE ASSOCIATION-N-211 BRYAN RD, OTTUMWA, IA 52501-NON-PROFIT SERVICE ORGANIZATION-TREASURER-01/01/2000-4 HRS-0 HRS-PAY BILLS, PROVIDE MONTHLY BANK STATEMENTS TO HEADQUARTERS IN ST. CHARLES, MO.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-27
S63 Uniform Securities Agent State Law Examination 1983-07-25
  • S66 Uniform Combined State Law Examination
    2007-06-27
  • S63 Uniform Securities Agent State Law Examination
    1983-07-25

View on SEC IAPD

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