BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD# 13609) is an SEC-Registered Investment Advisor (RIA), headquartered in Cedar Rapids, IA. The SEC approved the firm to operate as an RIA in Aug 2003. In Aug 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $703.0 Million, and has discretion over 58% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. also reported in Aug 2018: 136 employees, all of whom perform advisory functions. A total of 131 office locations. No registrations with foreign financial regulatory authorities. NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. has one or more disclosure events currently on file with the SEC.
View BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.'s most recent Form ADV filing
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. has Notice Filings with the following State Securities Authorities: AL-Feb 2010, AZ-May 2004, CA-Aug 2003, CO-Aug 2003, CT-Aug 2003 , DC-Aug 2003, DE-Aug 2003, FL-Aug 2003, GA-Aug 2003, HI-Oct 2009 , IA-Aug 2003, ID-Jun 2007, IL-Aug 2003, IN-Aug 2003, KS-Aug 2003 , KY-Jun 2007, LA-May 2004, MA-May 2004, MD-Aug 2003, MI-Aug 2003 , MN-Aug 2003, MO-Aug 2003, MS-Oct 2008, NC-Aug 2003, ND-Mar 2004 , NE-Aug 2003, NH-Mar 2006, NJ-Aug 2003, NM-May 2010, NV-Nov 2008 , NY-Aug 2003, OH-Aug 2003, OK-Aug 2009, OR-Sep 2008, PA-Aug 2003 , SC-Aug 2003, SD-Aug 2003, TN-Aug 2003, TX-Aug 2003, UT-Dec 2007 , VA-Aug 2003, VT-Aug 2003, WA-Jan 2007, WI-Aug 2003, WV-Aug 2003
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