AdFi
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Edward James Dougherty

Investment Adviser Representative at BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Cedar Rapids, IACRD #4109336Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
16 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
ArizonaCaliforniaFloridaGeorgiaIllinoisIndianaIowaLouisianaMaineMinnesotaNebraskaNew JerseyNew YorkOhioVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/7/2006
Series 66
Uniform Combined State Law Examination
Passed 4/25/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/11/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Berthel Fisher & Company Financial Services, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BFC PLANNING, INC.Current
12/21/2015Cedar Rapids, IA
VOYA FINANCIAL ADVISORS, INC.
9/11/200912/21/2015Cedar Rapids, IA
WELLS FARGO ADVISORS, LLC
1/1/20089/9/2009Cedar Rapids, IA
A. G. EDWARDS & SONS, INC.
10/31/20061/1/2008Cedar Rapids, IA
WELLS FARGO INVESTMENTS, LLC
8/8/200611/1/2006Cedar Rapids, IA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Edward James Dougherty has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Edward James Dougherty - Financial Advisor in Cedar Rapids, IA | AdvisorFinder