DR
Douglas B. Rapoport
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CRD#: 2321735
DR
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.
Douglas Brian Rapoport, who also goes by Douglas Rapp, Doug Rappoport, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Douglas Rapp | Doug Rappoport
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
December 8, 2015 - June 27, 2017
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
Colts Neck, NJ
Past
October 6, 2014 - December 7, 2015
KOVACK SECURITIES INC.
BD
CRD#: 44848
Colts Neck, NJ
Past
September 22, 2010 - October 3, 2014
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
EDGEWATER, NJ
Past
January 15, 2009 - September 22, 2010
AVENTURA SECURITIES, LLC
BD
CRD#: 142374
BOCA RATON, FL
Past
October 12, 2006 - January 12, 2009
PRESTIGE FINANCIAL CENTER, INC.
BD
CRD#: 30407
NEW YORK, NY
Past
August 13, 2004 - October 11, 2006
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
BIRMINGHAM, AL
Past
July 30, 2002 - September 10, 2004
RYAN BECK & CO.
RIA
CRD#: 3248
FORT LEE, NJ
Past
April 29, 2002 - September 10, 2004
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
July 26, 2001 - May 20, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
April 28, 2000 - July 26, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
BD
CRD#: 48001
NEW YORK, NY
Past
July 3, 1997 - April 28, 2000
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
NEW YORK, NY
Past
May 29, 1997 - June 20, 1997
OSCAR GRUSS & SON INCORPORATED
BD
CRD#: 2091
Past
May 21, 1996 - June 12, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 12, 1996 - May 7, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
March 22, 1995 - March 7, 1996
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
August 15, 1994 - April 8, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 19, 1994 - July 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 19, 1993 - April 14, 1994
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Past
April 20, 1993 - August 18, 1993
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 15, 1993 - April 5, 1993
NETWORK 1 FINANCIAL SECURITIES INC.
BD
CRD#: 13577
RED BANK, NJ
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
