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Thomas Joseph Berthel

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

Cedar Rapids, IACRD #823289Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
50 yrs
States Registered
51 states
Exams Passed
14

Registrations & licenses

Registration type
Dual-registered
Registered in 51 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/16/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 2/11/1983
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
Series 22
Direct Participation Programs Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 4/9/1990
Series 7
General Securities Representative Examination
Passed 5/21/1983
Series 1
Registered Representative Examination
Passed 6/9/1976
Series 39
Direct Participation Programs Principal Examination
Passed 1/2/2023
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 1/2/2023
Series 27
Financial and Operations Principal Examination
Passed 7/21/1984
Series 24
General Securities Principal Examination
Passed 12/6/1982

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
1/1/2002Cedar Rapids, IA
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Current
1/1/2001Cedar Rapids, IA
SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R")
2/7/20114/30/2012Marion, 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. Thomas Joseph Berthel 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.

Thomas Joseph Berthel - Financial Advisor in Cedar Rapids, IA | AdvisorFinder