Thomas Joseph Berthel
Professional Summary
Thomas Joseph Berthel is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and BFC PLANNING, INC. located in Cedar Rapids, Iowa. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, Series 79TO, Series 22TO, SIE,...
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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(319) 447-5700# of Employees
200SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
13,174AUM (Assets Under Management)
$3,841,196,599Similar Advisors
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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.
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Primary Firm SEC Registration
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(6/14/1995)
(2/16/1999)
(2/17/1987)
(4/25/1989)
(2/12/1987)
(12/19/1985)
(4/4/1995)
(2/10/1999)
(3/20/1992)
(7/1/1987)
(1/3/1992)
(4/1/1991)
(6/16/1995)
(3/12/1984)
(1/6/1988)
(8/31/1983)
(1/1/2001)
(1/22/1985)
(6/29/1987)
(6/16/1995)
(7/15/1996)
(3/18/1992)
(5/19/1995)
(1/6/1992)
(2/18/1987)
(6/21/1995)
(2/13/1987)
(6/14/1995)
(2/12/1987)
(6/26/1987)
(3/9/1998)
(6/13/1995)
(1/3/1992)
(6/26/1987)
(1/6/1992)
(9/23/1996)
(12/5/1990)
(6/24/1987)
(6/16/1995)
(11/16/1990)
(2/8/1999)
(1/9/1992)
(11/19/1990)
(3/10/1995)
(1/20/1987)
(3/8/2010)
(10/21/1996)
(6/7/1995)
(6/26/1987)
(6/15/1995)
(2/8/1999)
(8/20/1986)
(11/13/1990)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 1 — Registered Representative Examination
Passed Jun 1976Series 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Berthel's CRS (Customer Relationship Summary).
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