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 |
|---|---|---|---|---|---|---|---|---|
| Farrukh Shazad Kazmi | 2855915 | 7 | 08/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lois E Gough Lopez | 3090515 | 2 | 03/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Schall Hill | 2349350 | 1 | 09/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Glen Judd | 1919781 | 1 | 03/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sergio Humberto Gallego | 5987787 | 1 | 07/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Lee Seiple | 2619185 | 1 | 07/12/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Rafael Rodriguez | 4208247 | 2 | 07/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Haddad | 2553152 | 4 | 06/12/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Farrukh Shazad Kazmi | 2855915 | 7 | 03/18/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis David Rasmusson | 1424334 | 3 | 01/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |