TV
Thomas W. Van Horn
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
MARION, IL 62959
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CRD#: 2101920
TV
Professional summary
Thomas William Van Horn JR, who also goes by Thomas William Vanhorn Jr, is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Marion, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas William Vanhorn Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Van Horn JR'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
December 5, 2025 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 114 S. Vicksburg, Marion, IL 62959RIA
BD
CRD#: 13609
MARION, IL
Past
February 7, 2012 - December 5, 2025
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
MARION, IL
Past
September 5, 2000 - February 7, 2012
DETALUS SECURITIES, LLC
BD
CRD#: 103260
MARION, IL
Past
January 4, 1991 - August 31, 2000
D.R. HANCOCK & COMPANY, INC.
BD
CRD#: 10610
CARBONDALE, IL
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".
BF
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BERTHEL FISHER & COMPANY | MORAMERICA FINANCIAL SERVICES, INC. | BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC. | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | BERTHEL FISHER & COMPANY INC. | 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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Florida(12/6/2025)
RR
Illinois(12/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BERTHEL FISHER & COMPANY | MORAMERICA FINANCIAL SERVICES, INC. | BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC. | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | BERTHEL FISHER & COMPANY INC. | 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)BD
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
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
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)
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 |
| 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.
Company Information
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
CRD#: 13609Marion, IL 62959TRUST BUT VERIFY
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