| Category: | Insurance agency, |
|---|---|
| Address: | 1006 4th St, Fulton, IL 61252, USA |
| Postal code: | 61252 |
| Phone: | (815) 589-4009 |
| Website: | http://www.berthel.com/ |
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Berthel Fisher is not your average financial services firm. What is it that makes us different, the ability to choose your business model provides the flexibility for you and the ever changing needs of your clients. That is more important now than ever. There are a lot of aspects about Berthel Fisher that make us an excellent choice to partner ...
Berthel Fisher & Co Financial Services Inc. 4201 42nd Street Ne, Suite 100, Cedar Rapids, IA(319) 447-5700 Website. See Advisors At This Firm. Overview. Fees & Compensation. Client Types.
The Brokerage Firm Continues to Face Scrutiny From Multiple Regulatory Agencies. According to a recently released Annual Audited Report provided by Berthel Fisher & Co. Financial Services, Inc. (Berthel) to the U.S. Securities and Exchange Commission (SEC), the company acknowledges that they are being investigated by the SEC and may incur costs and penalties of up to $600,000.
Berthel Fisher Profile and History. Berthel Fisher, founded in 1985 and headquartered in Cedar Rapids, Iowa is a group of companies that provides solutions to independent financial advisors to grow and strengthen their investment businesses. The family of companies provides platforms, and financial services including traditional and alternative ...
Berthel Fisher & Co.: (CRD#:13609/SEC#: 801-62277,8-29426) This firm was founded in 1974. It is located in Cedar Rapids, Iowa and has approximately 350 representatives. Other names this firm uses are: Berthel Fisher & Company. Berthel Fisher & Company Financial Services, Inc. Berthel Fisher & Company Inc. Berthel, Fisher & Company Financial ...
The firm was censured and fined $235,000 plus more than $150,000 in disgorgement and pre judgment interest. Beginning in January 2014, registered representatives at Berthel Fisher allegedly received 12b-1 fees from mutual fund share classes it recommended or purchased for clients, even when more affordable share classes from the same mutual ...
June 25, 2020. By Bruce Kelly. A Securities and Exchange Commission investigation into mutual fund marketing fees, and costs related to investor lawsuits, could cost Berthel Fisher & Co. Financial ...
Aug 24, 2021. Berthel, Fisher & Company Financial Services, Inc. ("Berthel Fisher") ( CRD# 13609) has many different complaints filed by FINRA (Financial Industry Regulatory Authority), state regulatory organizations, and investors such as yourself. At the Law Offices of Robert Wayne Pearce, we have investigated Berthel Fisher, its ...
Berthel Fisher & Co. Dennis Fearing (CRD#: 1288339) was previously a dual registered Broker and Investment Advisor at Berthel, Fisher & Company Financial Services, Inc. in Coleraine, MN. He entered the securities industry in 1984 and previously worked for Northland Securities, Inc.; Associated Financial Services, Inc.; Fintegra, LLC; Huntingdon ...
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