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James Welby Troutman

Berthel, Fisher & Company Financial Services, Inc.

Temple, PA

CRD 1033732

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Employer firm

Berthel, Fisher & Company Financial Services, Inc. CRD 13609

$906M regulatory AUM 6 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

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

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2007-06-26
  • PA RA
    APPROVED
    Since 2007-06-26

Branch Locations

Temple, PA • 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. Marion IA 06/2007 Present
Previous Registrations
  • 2002-09-12 → 2007-06-26
    Brookstreet Securities Corporation
    Temple, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-21
S63 Uniform Securities Agent State Law Examination 1983-03-28
  • S66 Uniform Combined State Law Examination
    2002-08-21
  • S63 Uniform Securities Agent State Law Examination
    1983-03-28
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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