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DAVID RAYMOND FALK
CRD#: 1036828
IA
Investment Adviser
B
Broker
BFC PLANNING, INC.CRD#: 119682 920 10th Street
Suite A
Jamestown, ND 58401
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.CRD#: 13609 920 10th Street
Suite A
Jamestown, ND 58401
Registration History
1985199019952000200520102015202020252 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BAXA ADVISORS, LLC (CRD# 6627)1982 - 2015 (33 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1982 - 2000 (17 years)IAAXA ADVISORS, LLC (CRD# 6627)2000 - 2015 (15 years)
License(s)

State Registrations

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Arizona 8/12/2019

B
North Dakota 8/12/2019

B
Arkansas 11/30/2021

IA
North Dakota 8/13/2019

B
California 8/12/2019

B
Ohio 8/12/2019

B
Colorado 8/12/2019

B
Pennsylvania 8/12/2019

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Florida 8/12/2019

B
South Carolina 8/12/2019

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Idaho 8/12/2019

B
South Dakota 8/12/2019

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Minnesota 8/12/2019

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Washington 8/12/2019

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Montana 8/12/2019

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Wisconsin 8/12/2019

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Nebraska 8/12/2019

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Wyoming 8/12/2019

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North Carolina 8/25/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BFC PLANNING, INC. (CRD#:119682)
920 10th Street Suite A, Jamestown, ND 58401
Registered with this firm since 8/13/2019

B
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD#:13609)
920 10th Street Suite A, Jamestown, ND 58401
Registered with this firm since 8/12/2019

Previous Registration(s)
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IA
11/02/2015 - 08/15/2019 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) JAMESTOWN, ND
B
10/29/2015 - 08/15/2019 SECURITIES AMERICA, INC. (CRD#:10205) JAMESTOWN, ND
IA
07/06/2000 - 11/05/2015 AXA ADVISORS, LLC (CRD#:6627) JAMESTOWN, ND
B
04/29/1982 - 11/05/2015 AXA ADVISORS, LLC (CRD#:6627) JAMESTOWN, ND
B
04/29/1982 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.