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Investment Adviser Firm Summary
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. ( CRD # 13609/SEC#:801-62277,8-29426 )
BERTHEL FISHER & COMPANY, MORAMERICA FINANCIAL SERVICES, INC., BERTHEL, FISHER & FLEISCHMAN FINANCIAL SERVICES, INC., BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC., BERTHEL FISHER & COMPANY INC.…

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/27/2003
FloridaTerminated8/28/2003
GeorgiaTerminated8/28/2003
IllinoisTerminated8/28/2003
IowaTerminated8/28/2003
KansasTerminated8/28/2003
New YorkTerminated8/28/2003
North CarolinaTerminated8/28/2003
OhioTerminated8/28/2003
PennsylvaniaCancelled1/15/2003
South DakotaTerminated8/28/2003
TexasTerminated8/28/2003
VermontTerminated9/2/2003
WisconsinTerminated8/28/2003
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.

JURISDICTIONEFFECTIVE DATE
Alabama2/19/2010
Arizona5/26/2004
California8/27/2003
Colorado8/27/2003
Connecticut8/27/2003
Delaware8/29/2003
District of Columbia8/29/2003
Florida8/26/2003
Georgia8/27/2003
Hawaii10/6/2009
Idaho6/19/2007
Illinois8/27/2003
Indiana8/27/2003
Iowa8/27/2003
Kansas8/27/2003
Kentucky6/27/2007
Louisiana5/26/2004
Maryland8/27/2003
Massachusetts5/26/2004
Michigan8/27/2003
Minnesota8/27/2003
Mississippi10/8/2008
Missouri8/27/2003
Montana11/10/2022
Nebraska8/27/2003
Nevada11/26/2008
New Hampshire3/24/2006
New Jersey8/15/2003
New Mexico5/17/2010
New York8/27/2003
North Carolina8/27/2003
North Dakota3/1/2004
Ohio8/27/2003
Oklahoma8/14/2009
Oregon9/9/2008
Pennsylvania8/27/2003
South Carolina8/27/2003
South Dakota8/28/2003
Tennessee8/27/2003
Texas8/27/2003
Utah12/10/2007
Vermont8/27/2003
Virginia8/27/2003
Washington1/25/2007
West Virginia8/25/2003
Wisconsin8/27/2003
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.