TN
Thomas C. Nieves
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52402
Some features on this profile are disabled
CRD#: 2794262
TN
Professional summary
Thomas Carlos Nieves, AIF® is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
1. PREMIER COMPREHENSIVE FINANCIAL POSITION: Sr. Partner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2003 ADDRESS: 21031 Ventura Blvd, Suite 700, Woodland Hills CA 91364, United States DESCRIPTION: DBA 2. PREMFIN INC. POSITION: CFO NATURE: run expenses and payroll for practice INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 21031 Ventura Blvd, Suite 700, Woodland Hills CA 91364, United States DESCRIPTION: run expenses and payroll for practice
CRS (Client Relationship Summary) - BD
Click below to view Thomas Carlos Nieves'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®
Experience
Current
November 7, 2025 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402RIA
BD
CRD#: 13609
Cedar Rapids, IA
Past
January 22, 2020 - November 10, 2025
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
West Palm Beach, FL
Past
January 17, 2020 - November 10, 2025
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
West Palm Beach, FL
Past
September 20, 2019 - January 17, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WOODLAND HILLS, CA
Past
March 18, 2011 - January 17, 2020
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
WOODLAND HILLS, CA
Past
March 18, 2011 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
WOODLAND HILLS, CA
Past
January 19, 2010 - December 1, 2010
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LOS ANGELES, CA
Past
January 1, 2004 - December 1, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LOS ANGELES, CA
Past
September 17, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
December 15, 1997 - September 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WOODLAND HILLS, CA
Past
October 10, 1997 - September 17, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 10, 1997 - September 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(11/7/2025)
RR
Florida(11/7/2025)
Exams
State Security Law Exam
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
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.
