TB
Thomas R. Biesheuvel
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CRD#: 21268
TB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Richard Biesheuvel was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 1, 2005 - June 25, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
EL CERRITO, CA
Past
May 25, 2005 - June 25, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
EL CERRITO, CA
Past
July 8, 1997 - August 3, 2005
HERITAGE CAPITAL
RIA
CRD#: 136451
EL CERRITO, CA
Past
November 19, 1989 - June 10, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 1, 1974 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
October 14, 1971 - May 5, 1974
HARRISON FINANCIAL CORPORATION
BD
CRD#: 2143
Past
July 3, 1970 - November 7, 1971
CLARK, DODGE & CO., INCORPORATED
BD
CRD#: 161
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/19/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
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
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)
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.
