Individual Firm
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RAYMOND CHARLES BECKER
CRD#: 16399
IA
B
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.CRD#: 13609 107 N 6TH ST
SUITE 1
ATCHISON, KS 66002
SUITE 1
ATCHISON, KS 66002
0
Disclosures
56
Years of Experience
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State Registrations
B
Arizona 5/17/2006
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Missouri 8/18/2005
B
California 9/30/2005
B
New Jersey 8/18/2005
B
Colorado 8/8/2005
B
Ohio 2/25/2020
B
Florida 8/17/2005
B
Oregon 1/2/2020
B
Illinois 6/7/2022
B
Pennsylvania 8/22/2005
B
Kansas 6/1/2005
B
Texas 5/23/2006
IA
Kansas 6/1/2005
B
Utah 8/17/2020
B
Michigan 10/12/2009
B
Virginia 8/18/2005
SRO Registrations
B
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IA
Registered with this firm since 6/1/2005
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Registered with this firm since 6/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/2004 - 03/01/2005 | FORT WORTH, TX | |
B | 10/15/1968 - 03/01/2005 | FORT WORTH, TX | |
IA | 10/12/2000 - 04/12/2004 | LEAVENWORTH, KS |
FORT WORTH, TX
04/12/2004 - 03/01/2005
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.