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Building 2BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Map pinCEDAR RAPIDS, IA
Phone319-447-5700
NotebookSEC #801-62277
Total AUM
$906.4M
Employees
100
Clients
3,352

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

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HotelBusiness

Principal Address
4201 42ND STREET NE
SUITE 100
CEDAR RAPIDS
IA 52402
United States
Operating Hours
MON-THURS: 8AM-5PM; FRI 8AM-4PM
Monday - Friday
Phone
319-447-5700
Other Offices
55

ReceiptFinancials

Total AUM
$906.4M
Accounts
3,352
Discretionary
$438.1M
Accounts
1,854
Non-Discretionary
$468.4M
Accounts
1,498

ContactClients

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Individual Clients
3,278
AUM
$719.9M
HNW Individual Clients
45
AUM
$161.2M
Pension/Profit Sharing Plan Clients
10
AUM
$5M
Corporation or Business Clients
19
AUM
$20.4M

Briefcase businessServices

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Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio Management
Compensation Types
Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Percentage AUM

Shield checkCompliance

Disclosures
Other Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Regulatory ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
ALAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPASCSDTNTXUTVAVTWAWIWV

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Affiliates
Reported 1 business affiliate.
Claimed Affiliates
Reported as an affiliate by 4 other businesses.

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