Individual Firm
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LESTER LOVELL HOLMES
CRD#: 4382927
IA
B
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.CRD#: 13609 2020 Hurley Way
Suite 225
SACRAMENTO, CA 95825
Suite 225
SACRAMENTO, CA 95825
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Arizona 5/13/2009
B
Nevada 7/30/2014
B
Arkansas 3/15/2010
B
New York 5/20/2024
B
California 4/17/2009
B
North Carolina 8/19/2021
IA
California 4/20/2009
B
Oregon 5/18/2021
B
Florida 1/4/2021
B
South Carolina 5/4/2021
B
Georgia 5/6/2021
B
Tennessee 8/18/2022
B
Hawaii 1/28/2021
B
Texas 4/4/2013
B
Indiana 1/9/2025
B
Utah 8/21/2024
B
Kansas 12/19/2022
B
Virginia 11/2/2021
B
Louisiana 4/1/2020
B
Washington 1/31/2020
B
Maryland 1/28/2016
SRO Registrations
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IA
Registered with this firm since 4/20/2009
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Registered with this firm since 4/17/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/25/2007 - 04/20/2009 | SACRAMENTO, CA | |
B | 05/25/2007 - 04/20/2009 | SACRAMENTO, CA | |
IA | 09/21/2001 - 06/14/2007 | SACRAMENTO, CA | |
B | 05/18/2001 - 06/14/2007 | SACRAMENTO, CA |
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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.