Individual Firm
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CHARLES MICHAEL HADDAD
CRD#: 2553152
IA
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BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.CRD#: 13609 7 WEST SQUARE LAKE ROAD #120
BLOOMFIELD HILLS, MI 48302
BLOOMFIELD HILLS, MI 48302
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10/9/2015
Customer Dispute
Settled
2/16/2010
Customer Dispute
Closed-No Action
11/23/2009
Customer Dispute
Denied
State Registrations
B
Arizona 5/6/2021
B
North Carolina 8/4/2009
B
California 4/21/2009
B
Ohio 1/17/2013
B
Illinois 1/17/2013
B
Oklahoma 8/22/2012
B
Indiana 10/16/2019
B
Pennsylvania 4/21/2009
B
Kentucky 8/24/2020
B
South Carolina 8/13/2014
B
Michigan 4/21/2009
B
Tennessee 5/29/2015
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Michigan 1/5/2010
B
Texas 1/16/2013
B
New York 5/11/2020
B
Washington 10/24/2023
SRO Registrations
B
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Learn about permitted activities of registered representatives
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Registered with this firm since 1/5/2010
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Registered with this firm since 4/21/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/27/2008 - 04/21/2009 | BIRMINGHAM, MI | |
IA | 09/08/2008 - 10/28/2008 | AUBURN HILLS, MI | |
B | 06/29/2007 - 10/28/2008 | AUBURN HILLS, MI | |
B | 01/01/1999 - 07/05/2007 | BIRMINGHAM, MI | |
B | 12/20/1994 - 01/01/1999 | DETROIT, MI |
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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.