Our Staff has compiled our research into a database of FINRA Broker Disclosures for Berthel, Fisher & Company Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Augustus Bowers | 5289266 | 1 | 07/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin L Schneider | 860086 | 1 | 10/17/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alan Matthew Sabo | 3274416 | 2 | 12/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Jon Pridey | 2136022 | 4 | 04/27/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Deborah Anne Hanson | 4649028 | 1 | 10/05/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Genevieve Garcia Mar | 2744037 | 9 | 04/30/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Farrukh Shazad Kazmi | 2855915 | 7 | 03/18/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Farrukh Shazad Kazmi | 2855915 | 7 | 10/30/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Dale Vanwyngarden | 1286498 | 2 | 09/19/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Lane Johnson | 1570308 | 5 | 09/28/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |