Richard H. Hickman

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES

Des Moines, IA 50312

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CRD#: 1860694

Professional summary

Richard Hulett Hickman, who also goes by Rick Hickman, is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Des Moines, Iowa.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Hickman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Hulett Hickman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 22, 2003 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 532 29th Suite A, Des Moines, IA 50312

RIA

CRD#: 13609

Des Moines, IA

Past

July 18, 2000 - December 31, 2001

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

February 1, 1997 - May 25, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

February 20, 1991 - December 10, 1996

FOREST SECURITIES,INC.

CRD#: 16255

HILLSIDE, IL

Past

September 20, 1988 - March 19, 1990

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

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".

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609 / SEC#: 801-62277, 8-29426

RIA

Registered Investment Advisory firm - SEC (8/27/2003 Approved)

Florida

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/15/2003 Cancelled)

South Dakota

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (9/2/2003 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(7/11/2006)

Colorado
(10/21/2021)

Florida
(1/5/2022)

Georgia
(8/24/2006)

Illinois
(9/20/2024)

Indiana
(10/14/2021)

Iowa
(10/22/2003)

Minnesota
(9/3/2021)

Nebraska
(1/6/2020)

New York
(11/7/2023)

Oklahoma
(4/1/2024)

Oregon
(10/26/2021)

Pennsylvania
(9/16/2021)

Texas
(12/14/2016)

Wisconsin
(9/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609 / SEC#: 801-62277, 8-29426

RIA

Registered Investment Advisory firm - SEC (8/27/2003 Approved)

Florida

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Illinois

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Iowa

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Kansas

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/15/2003 Cancelled)

South Dakota

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (9/2/2003 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (8/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

Mailing Address

P. O. Box 11340, Cedar Rapids, IA 52410-1340

Phone number

(319) 447-5700

Established

Iowa since 03/13/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

100

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC ADV PART 2 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
BERTHEL FISHER & COMPANY	100% OWNER
BERTHEL, THOMAS JOSEPH	CHAIRMAN OF THE BOARD/EXECUTIVE VICE PRESIDENT	823289
CHAPMAN, KIMBERLY KAREN EARLY	CHIEF COMPLIANCE OFFICER	2527036
CHRISTOFFERSON, ANDREW JAMES	CHIEF EXECUTIVE OFFICER/PRESIDENT	3248381
DAVENPORT, SHELLEY RAE	VICE PRESIDENT LEGAL & REGULATORY MATTERS	2131376
HOHN, JAMES RALPH	VICE PRESIDENT/TECHNOLOGY	5413776
MEEHAN, DANIEL GERARD	VICE PRESIDENT RECRUITING	2264556
MURPHY, RICHARD MAURICE	EXECUTIVE VICE PRESIDENT	4893748
NOETHEN, BRITTANY MICHELLE	CHIEF TECHNOLOGY OFFICER	2610543
RUPP, BRIAN MICHAEL	CHIEF FINANCIAL OFFICER/TREASURER	6721718
SCHAUL, JOANNA MARIE	CHIEF ADMINISTRATION OFFICER/SECRETARY	4947759
SWARTZENDRUBER, PAIGE NICHOLE	CHIEF BUSINESS DEVELOPMENT OFFICER	4575768
WILCOX, RANDY AUSTIN	VICE PRESIDENT COMPLIANCE/OSJ MANAGER	4346998

Regulatory assets under management

Total Number of Accounts	3,408
AUM (Assets Under Management)	$ 798,130,823

Disclosures

Regulatory Event	27
Arbitration	15
Bond	1

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.

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Richard H. Hickman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Hulett Hickman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMA FINANCIAL SERVICES, INC.

LOCUST STREET SECURITIES, INC.

FOREST SECURITIES,INC.

BROKER DEALER FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

FINRA

Current Firm

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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