Unclaimed Profile

Thomas Joseph Berthel

BFC PLANNING, INC.·CEDAR RAPIDS, Iowa

SIE, Series 1, Series 3, Series 6TO, Series 7, Series 22TO, Series 24, Series 26, Series 27, Series 39, Series 63, Series 65, Series 79TO, Series 99TO25 years registeredBFC PLANNING, INC.

4201 42ND STREET NE, CEDAR RAPIDS, IA 52402CRD# 823289Firm CRD# 119682

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Joseph Berthel · CEDAR RAPIDS, IA

Registration

CRD #823289 · BFC PLANNING, INC. · 25 years registered

Brand Profile

Not yet started

Career History

BFC PLANNING, INC.

Jan 2002 – present

BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Jan 2001 – present

SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R")

Feb 2011 – Apr 2012

MARION, IA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 3

Series 6TO

Series 7

Series 22TO

Series 24

Series 26

Series 27

Series 39

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · January 1, 2001

Years registered · 25

Disclosure History

2004Customer Dispute·Settled

2000Customer Dispute·Settled

1993Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

BFC PLANNING, INC.

CRD 119682 · SEC 801-67427

AUM

$1.8B

Regulatory assets under management

Employees

200

8,749 client accounts

Services offered by BFC PLANNING, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at BFC PLANNING, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Joseph Berthel offer?

Thomas Joseph Berthel specializes in Financial Planning, Investment Management. Contact their office in CEDAR RAPIDS, Iowa for a consultation.

What are Thomas Joseph Berthel's credentials?

Thomas Joseph Berthel is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Joseph Berthel located?

Thomas Joseph Berthel is based in CEDAR RAPIDS, Iowa, working with BFC PLANNING, INC.. Their office serves clients in the CEDAR RAPIDS metropolitan area and surrounding communities.

How does Thomas Joseph Berthel charge for services?

Thomas Joseph Berthel's firm is compensated through percentage of aum, hourly charges, subscription fees, other: solicitor fee. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BFC PLANNING, INC.?

BFC PLANNING, INC. has approximately 200 employees and manages $1.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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