TC
Todd K. Caudle
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
ATCHISON, KS 66002
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CRD#: 2450100
TC
Professional summary
Todd Kenneth Caudle is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Atchison, Kansas.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Todd has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.CAUDLE FINANCIAL GROUP-N-ATCHISON, KS-INSURANCE-SR. INVESTMENT EXECUTIVE-12/1999-4-4-Sell Life Insurance, LTC & Disability insurance. 2.CAUDLE FARMS-N-ATCHISON, KS-FAMILY FARM-SECRETARY/TREASURER-01/1996-5-0-SECRETRAY/TREASURER FOR FAMILY FARM 3.CAUDLE FINANCIAL GROUP-Y-ATCHISON, KS-SECURITIES-REPRESENTATIVE-01/1994-50-30-SECURITIES & INVESTMENTS 4.BENDENA STATE BANK-N-ATCHISON, KS-BOARD OF DIRECTORS FOR BANK-DIRECTOR/PART OWNER/CHAIRMAN-01/1996-2-0-SEAT ON THE BOARD OF DIRECTORS FOR BENDENA STATE BANK 5.OwnX-N-ATCHISON, KS-REFERRAL BUSINESS-AGENT-03/2010-0-0-RECEIVE FEE IF GOLD AND SILVER CUSTOMERS ARE REFERRED. 6.TODD CAUDLE PERSONAL REAL ESTATE INVESTMENTS-N-ATCHISON, KS-REAL ESTATE-OWNER-12/1994-2-0-BUYING/SELLING REAL ESTATE AND MANAGING FAMILY REAL ESTATE. 7. MHMA ENDOWMENT BOARD- N- ATCHISON, KS- BOARD MEMBER- 02/2022- 1-1- REVIEWING FINANCIALS, INVESTMENT ALLOCATIONS, RAISING FUNDS, AND DISTRUBUTIONS FOR THE ENDOWMENT. 8. ATCHISON COUNTY REPUBLICAN CENTRAL COMMITTEE- N- ATCHISON, KS- TREASURER- 07/1998- 1- 0- FILE REPORTS, DEPOSIT FUNDS, AND WRITE CHECKS ON BEHALF OF THE COMMITTEE. 9. UNION STATE BANK- N- EVEREST, KS- MEMBER OF BOARD OF DIRECTORS- 04/2023- 2- 0- REVIEW AND SET POLICIES FOR BANK. 10. ADVOCATE HEALTH SERVICES- N- ATCHISON, KS- COMMUNITY HEALTH SERVICES- BOARD MEMBER- 02/2025- 1- 0- VOLUNTEER BOARD FOR SUPPORTING THE HEALTH CARE IN OUR RURAL COMMUNITY.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Kenneth Caudle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd Kenneth Caudle'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
February 9, 2000 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 107 N 6th St Suite 1, Atchison, KS 66002RIA
BD
CRD#: 13609
ATCHISON, KS
Current
February 9, 1994 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 107 N 6th St Suite 1, Atchison, KS 66002RIA
BD
CRD#: 13609
ATCHISON, KS
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.
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(3/7/2001)
RR
Arkansas(9/11/2009)
RR
California(9/5/1996)
RR
Colorado(1/7/2000)
RR
Florida(4/26/2004)
RR
Georgia(1/6/2010)
RR
Illinois(3/2/1995)
RR
Indiana(10/13/2023)
RR
Iowa(8/29/1994)
RR
Kansas(2/18/1994)
IAR
Kansas(3/6/2000)
RR
Louisiana(1/7/2015)
RR
Minnesota(5/24/2022)
RR
Missouri(2/18/1994)
RR
Montana(9/9/2019)
RR
Nebraska(4/11/1997)
RR
New Jersey(8/18/2025)
RR
New York(1/18/2019)
RR
North Carolina(4/28/2004)
RR
Oklahoma(10/30/2008)
RR
Pennsylvania(3/12/2025)
RR
South Carolina(12/15/2004)
RR
South Dakota(11/7/2012)
RR
Tennessee(11/30/2021)
RR
Texas(7/24/2003)
RR
Utah(1/4/2012)
RR
Virginia(3/10/2014)
RR
Wisconsin(7/28/2023)
RR
Wyoming(10/8/2024)
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
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.
