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Investment Adviser Firm Summary

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD# 13609 / SEC# 8-29426, 801-62277)
Alternate Names: BERTHEL FISHER & COMPANY , BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. , BERTHEL FISHER & COMPANY INC. , BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. , BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC. , MORAMERICA FINANCIAL SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/27/2003
Florida Terminated 08/28/2003
Georgia Terminated 08/28/2003
Illinois Terminated 08/28/2003
Iowa Terminated 08/28/2003
Kansas Terminated 08/28/2003
New York Terminated 08/28/2003
North Carolina Terminated 08/28/2003
Ohio Terminated 08/28/2003
Pennsylvania Cancelled 01/15/2003
South Dakota Terminated 08/28/2003
Texas Terminated 08/28/2003
Vermont Terminated 09/02/2003
Wisconsin Terminated 08/28/2003

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/19/2010
Arizona 05/26/2004
California 08/27/2003
Colorado 08/27/2003
Connecticut 08/27/2003
Delaware 08/29/2003
District of Columbia 08/29/2003
Florida 08/26/2003
Georgia 08/27/2003
Hawaii 10/06/2009
Idaho 06/19/2007
Illinois 08/27/2003
Indiana 08/27/2003
Iowa 08/27/2003
Kansas 08/27/2003
Kentucky 06/27/2007
Louisiana 05/26/2004
Maryland 08/27/2003
Massachusetts 05/26/2004
Michigan 08/27/2003
Minnesota 08/27/2003
Mississippi 10/08/2008
Missouri 08/27/2003
Nebraska 08/27/2003
Nevada 11/26/2008
New Hampshire 03/24/2006
New Jersey 08/15/2003
New Mexico 05/17/2010
New York 08/27/2003
North Carolina 08/27/2003
North Dakota 03/01/2004
Ohio 08/27/2003
Oklahoma 08/14/2009
Oregon 09/09/2008
Pennsylvania 08/27/2003
South Carolina 08/27/2003
South Dakota 08/28/2003
Tennessee 08/27/2003
Texas 08/27/2003
Utah 12/10/2007
Vermont 08/27/2003
Virginia 08/27/2003
Washington 01/25/2007
West Virginia 08/25/2003
Wisconsin 08/27/2003

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser