James Peters
James Peters is a registered investment advisor at Berthel Fisher & Company Financial Services, INC., based in North Mankato, MN, with 16 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,942 clients with $800M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Berthel Fisher offers asset management services through various platforms. Fees are based on the amount of assets managed and are negotiable, with a maximum of 2.5% annually. Fees may be charged in advance or arrears, monthly or quarterly. Clients may incur additional charges from third parties, such as mutual fund expenses and IRA fees. Berthel Fisher prohibits purchases of 12b-1 fee-paying share classes in managed accounts. Clients should discuss the costs and benefits of each platform with their advisor to select the most suitable option.
Location
1445 Lookout Dr, North Mankato, MN, 56003
Get directionsHistory
Regulatory History (1)
Regulatory
March 2019Other Business ActivitiesSells Insurance
James works as a financial professional selling securities and insurance through Investment Management & Associates, essentially full-time. He also sells fixed insurance products, dedicating minimal time, and is involved in several other activities including alumni advisory, real estate management, family partnership advising, and a role with the American Legion.
Employment History
Current Registrations
Berthel, Fisher & Company Financial Services, INC.Broker
Bfc Planning, INC.
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Sii Investments, INC.
Sii Investments, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.