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Current Employers
Bfc Planning, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2016-06-15
  • CO RA
    APPROVED
    Since 2016-06-15

Branch Locations

97 Main Street W 103, Edwards, CO 81632 • United States

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

Berthel, Fisher & Company Financial Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2006-01-04
  • CO RA
    APPROVED
    Since 2006-01-04

Branch Locations

97 Main Street W 103, Edwards, CO 81632 • 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 Fianancial Services, Inc. Marion IA 12/2005 Present
Bfc Planning, Inc. Edwards CO 06/2016 Present
  • 12/2005 → Present
    Berthel Fisher & Company Fianancial Services, Inc.
    Marion, IA
  • 06/2016 → Present
    Edwards, CO
Previous Registrations
Other Businesses

1.1ST & MAIN INVESTMENT ADVISORS-Y-EDWARDS, CO-FINANCIAL ADVISORY-ADVISOR-10/1999-200-150-FINANCIAL ADVISORY BUSINESS 2.EAGLE VALLEY FAMILY ASSISTANCE FUND-N-EDWARDS, CO-LOANS-PRESIDENT-01/2018-5-0-MAKE LOANS TO INDIVIDUALS WHO WOULD NOT NORMALLY QUALIFY FOR CONVENTIONAL LENDING 3.FMH INVESTMENTS CORP-Y-EDWARDS, CO-INVESTMENTS-PRESIDENT-05/1993-200-150-INVESTMENT ADVISORY SET UP FOR BANKING PURPOSES 4. RIVERHOUSE CONDOMINIUM ASSOCIATION-N-EDWARDS, CO-PROPERTY MANAGEMENT-MANAGER-05/1992-30-10-MANAGE CONDOMINIUM ASSOCIATION 5.Dana A DelBosco Revocable Trust-Y-Edwards, CO-Trustee Duties-Co Trustee-05/2000-5-1-Trustee Powers, Check writing powers and Trust investments. 6.St. Petersburg, LLC-N-Edwards, CO-LLC for office building-Partner-08/1999-1-0-No real duties, this is an LLC that owns the office space which 1st & Main operates out of. 7.1st & Main Investment Advisors-N-Edwards, CO-Insurance Sales-Agent-01/2018-2-2-Diversified Brokerage Services, Sale of Life Insurance. 8.Edwards Rotary-N-Edwards, CO-Financials and Check Signing-Treasurer-10/2019-10-5-Reviewing financials and check signing for the Edwards Rotary Club.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-22
S63 Uniform Securities Agent State Law Examination 1986-11-18
  • S65 Uniform Investment Adviser Law Examination
    1999-07-22
  • S63 Uniform Securities Agent State Law Examination
    1986-11-18
Other Names
  • Fraser Macphearson Horn

View on SEC IAPD

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