TB
Thomas J. Berthel
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52410-1340
Some features on this profile are disabled
CRD#: 823289
TB
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, Series 3, Series 7, Series 1, Series 39, Series 26, Series 27 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. THOMAS J BERTHEL - INSURANCE-Y-Cedar Rapids, IA 52302-INSURANCE SALES-AGENT-1/1/1975-10-10-INSURANCE SALES. 2. TJ BERTHEL ENTERPRISES DEVELOPMENT LLC-N-4900 OAK GROVE RD NE, CEDAR RAPIDS, IA 52402-REAL ESTATE LAND DEVELOPMENT-MANAGING MEMBER-6/1/2007-1-0-REAL ESTATE DEVELOPMENT. 3. UNIVERSITY OF IOWA CHILDREN'S HOSPITAL-N-IOWA CITY, IA-HOSPITAL-ADVISORY BOARD MEMBER-07/2009-1-0-HOSPITAL BOARD MEETINGS. 4. ST. AMBROSE BOARD OF TRUSTEES-N-DAVENPORT, IA-COLLEGE-BOARD MEMBER-11/1/2008-1-0-BOARD MEMBER. 5. BEYOND X'S & O'S-N-4900 OAK GROVE RD NE, CEDAR RAPIDS, IA 52402-BOOK-AUTHOR-7/14/2010-1 TO 2 HRS-0-BOOK PROMOTION. 6. Family First Financial Strategies-Y-Cedar Rapids, IA-Private Client Rep-Consultant-03/2023-10- 10 -Private client rep/IAR Business. Consult on retirement & non-retirement accounts including insurance 7.Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Company (Chairman of Board/Executive Vice President), Berthel Fisher & Co. Financial Services, Inc. (Chairman of Board/Executive Vice President), Berthel Fisher & Company Insurance, Inc.(Chairman of Board/Executive Vice President), BFC Planning, Inc.(Chairman of Board/Executive Vice President), One Financial (Chairman of Board/Executive Vice President), Securities Management & Research, Inc. (Chairman of Board/Executive Vice President) -Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services. 8.Sugar Creek Villa HOA-N-Cedar Rapids, IA-Board President of HOA-Board President-02/2020-2-0-Non Paid Board President of Homeowners Association for term of one year. 9. Berthel-Satler Construction- N- Cedar Rapids, IA- LLC for home building- Co-owner- 10/2022- 0- 0- Building homes on lots previously purchased by TJ Berthel Development. 10. Berthel Financial Professional- Y- Prosper, TX- Private client wealth management- Financial Professional- 06/2023- 10- 10- DBA for private client wealth management group. 11. TJ Berthel Development- N- Cedar Rapids, IA- Owner- 01/2005- 1- 0- Real estate development.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Berthel'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
January 1, 2001 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
January 1, 2002 - Present
BFC PLANNING, INC.
Office #1: 4201 42nd Street Suite 100, Cedar Rapids, IA 52402RIA
CRD#: 119682
Cedar Rapids, IA
Current
August 22, 1983 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
January 13, 2011 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100 Box 11606, Cedar Rapids, IA 52410-1606BD
CRD#: 759
Cedar Rapids, IA
Past
February 7, 2011 - April 30, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
RIA
CRD#: 759
MARION, IA
Past
March 3, 1983 - August 12, 1985
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
June 15, 1976 - April 5, 1983
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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".
BP
BFC PLANNING, INC.
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
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)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
Alabama(6/14/1995)
RR
Alaska(2/16/1999)
RR
Arizona(2/17/1987)
RR
Arkansas(4/25/1989)
RR
California(2/12/1987)
RR
Colorado(12/19/1985)
RR
Connecticut(4/4/1995)
RR
Delaware(2/10/1999)
RR
District of Columbia(3/20/1992)
RR
Florida(7/1/1987)
RR
Georgia(1/3/1992)
RR
Hawaii(4/1/1991)
RR
Idaho(6/16/1995)
RR
Illinois(3/12/1984)
RR
Indiana(1/6/1988)
RR
Iowa(8/31/1983)
IAR
Iowa(1/1/2001)
RR
Kansas(1/22/1985)
RR
Kentucky(6/29/1987)
RR
Louisiana(6/16/1995)
RR
Maine(7/15/1996)
RR
Maryland(3/18/1992)
RR
Massachusetts(5/19/1995)
RR
Michigan(1/6/1992)
RR
Minnesota(2/18/1987)
RR
Mississippi(6/21/1995)
RR
Missouri(2/13/1987)
RR
Montana(6/14/1995)
RR
Nebraska(2/12/1987)
RR
Nevada(6/26/1987)
RR
New Hampshire(3/9/1998)
RR
New Jersey(6/13/1995)
RR
New Mexico(1/3/1992)
RR
New York(6/26/1987)
RR
North Carolina(1/6/1992)
RR
North Dakota(9/23/1996)
RR
Ohio(12/5/1990)
RR
Oklahoma(6/24/1987)
RR
Oregon(6/16/1995)
RR
Pennsylvania(11/16/1990)
RR
Rhode Island(2/8/1999)
RR
South Carolina(1/9/1992)
RR
South Dakota(11/19/1990)
RR
Tennessee(3/10/1995)
RR
Texas(1/20/1987)
IAR
Texas(3/8/2010)
RR
Utah(10/21/1996)
RR
Vermont(6/7/1995)
RR
Virginia(6/26/1987)
RR
Washington(6/15/1995)
RR
West Virginia(2/8/1999)
RR
Wisconsin(8/20/1986)
RR
Wyoming(11/13/1990)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/9/1976
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BFC PLANNING, INC.
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
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
Phone number
(319) 447-5700
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
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.
