TB
TB
Thomas Berthel
49 Years of Experience
Cedar Rapids, IA
3 DisclosuresBrokerSells Insurance
Thomas Berthel is a registered investment advisor, based in Cedar Rapids, IA, with 49 years of industry experience.
Location
4201 42nd Street NE, Suite 100, Cedar Rapids, IA, 52402-7101
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Regulatory History (3)
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Customer Dispute
November 2004Settled
Customer Dispute
July 2000Settled
Regulatory
September 1993Final
Other Business ActivitiesSells Insurance
Thomas is involved in numerous business activities, including insurance sales since 1975, real estate development, and serving on various boards. He also holds leadership positions in several affiliated financial services companies, taking nearly full-time hours.
Employment History
Current Registrations
Securities Management & Research, INC.Broker
January 2011 - Present · 15 yrs 4 mos
Bfc Planning, INC.
January 2002 - Present · 24 yrs 4 mos
Berthel Fisher & Company Financial Services, INC.
January 2001 - Present · 25 yrs 4 mos
Berthel, Fisher & Company Financial Services, INC.Broker
August 1983 - Present · 42 yrs 9 mos
Previous Registrations
Securities Management and Research, INC. ("sm&r")
February 2011 - April 2012 · 1 yr 2 mos
Lowry Financial Services CorporationBroker
March 1983 - August 1985 · 2 yrs 5 mos
Mutual Benefit Financial Service CompanyBroker
June 1976 - April 1983 · 6 yrs 10 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.