FH
Fraser M. Horn
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Edwards, CO 81632
Some features on this profile are disabled
CRD#: 1533952
FH
Professional summary
Fraser Macpherson Horn, who also goes by Fraser Macphearson Horn, is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Edwards, Colorado and BFC PLANNING, INC. located in Edwards, Colorado.
Fraser is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Fraser has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fraser Macphearson Horn
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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.Jackson Kane DelBosco Irrevocable Trust-Y-Edwards, Co-Trustee on Trust-Trustee-05/2000-5-1-Trustee Powers, Check writing powers and Trust investments 6.Dana A DelBosco Revocable Trust-Y-Edwards, CO-Trustee Duties-Co Trustee-05/2000-5-1-Trustee Powers, Check writing powers and Trust investments.
7.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.
8.1st & Main Investment Advisors-N-Edwards, CO-Insurance Sales-Agent-01/2018-2-2-Diversified Brokerage Services, Sale of Life Insurance.
9.Edwards Rotary-N-Edwards, CO-Financials and Check Signing-Treasurer-10/2019-10-5-Reviewing financials and check signing for the Edwards Rotary Club.
CRS (Client Relationship Summary) - RIA
Click below to view Fraser Macpherson Horn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 4, 2006 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
BD
CRD#: 13609
Edwards, CO
Current
June 15, 2016 - Present
BFC PLANNING, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
CRD#: 119682
Edwards, CO
Current
December 20, 2005 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
BD
CRD#: 13609
Edwards, CO
Past
December 1, 2005 - December 19, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
EDWARDS, CO
Past
December 1, 2005 - December 19, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 26, 2003 - November 30, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
EDWARDS, CO
Past
March 31, 2003 - November 30, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
November 29, 1999 - April 2, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
RIA
CRD#: 2864
EDWARDS, CO
Past
March 16, 1993 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
August 6, 1987 - March 15, 1993
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
October 23, 1986 - July 23, 1987
FORTUNE & COMPANY
BD
CRD#: 17885
Past
July 25, 1986 - August 20, 1987
WAGNER, STOTT & CO.
BD
CRD#: 3690
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BP
BFC PLANNING, INC.
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/12/2006)
RR
California(1/3/2006)
RR
Colorado(12/20/2005)
IAR
Colorado(1/4/2006)
RR
Florida(12/20/2005)
RR
Georgia(7/1/2015)
RR
Hawaii(3/6/2017)
RR
Idaho(1/11/2006)
RR
Illinois(3/11/2024)
RR
Maryland(1/11/2006)
RR
Massachusetts(9/15/2016)
RR
Michigan(1/26/2021)
RR
Minnesota(4/15/2020)
RR
Missouri(1/5/2021)
RR
Montana(2/9/2016)
RR
New Jersey(1/19/2007)
RR
New Mexico(12/5/2017)
RR
New York(12/20/2005)
RR
North Carolina(1/21/2015)
RR
Ohio(1/9/2008)
RR
Pennsylvania(11/6/2008)
RR
South Carolina(5/15/2009)
RR
Texas(7/1/2009)
RR
Utah(9/9/2025)
RR
Virginia(1/31/2018)
RR
Wisconsin(11/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BFC PLANNING, INC.
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
Phone number
(319) 447-5700
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
