James Ralph Hohn
Professional Summary
James Ralph Hohn is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa. James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 99TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
4 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Mailing Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(319) 447-5700Established
Iowa since 03/13/1974Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
100SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
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 |
| CHRISTOFFERSON, PAIGE NICHOLE | CHIEF BUSINESS DEVELOPMENT OFFICER | 4575768 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| ROSEMAN, JEFFREY PATRICK | GENERAL COUNSEL | 6296481 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATION OFFICER/SECRETARY | 4947759 |
| TRACY, MADYSON ELLEN | VICE PRESIDENT BUSINESS DEVELOPMENT | 6751926 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Regulatory Assets Under Management
Total Number of Accounts
3,352AUM (Assets Under Management)
$906,439,489Disclosures
Regulatory Event
27Arbitration
15Bond
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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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Ralph Hohn's CRS (Customer Relationship Summary).
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