Full text of BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.'s X-17A-5 filed 2023-03-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statement and Independent Auditor's Report December 31, 2022 Filed as a Public Document Pursuant to Rule 17a-5(d) of the Securities Exchange Act of 1934. \*\*\* PUBLIC DOCUMENT \*\*\* {1}------------------------------------------------ ### Berthel Fisher & Company Financial Services, Inc. (A Wholly Owned Subsidiary of Berthel Fisher & Company) ### TABLE OF CONTENTS | | Page | |---------------------------------------------------------|--------| | LETTER OF OATH OR AFFIRMATION | 1-2 | | REPORT OF INDEPENDENT RECISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENT | | | Statement of Financial Condition | ব | | Notes to the Financial Statement | 5 = 10 | {2}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-29426 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2022 filing for the period beginning 1/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Berthel Fisher & Company Financial Services, Inc TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4201 - 42nd St. NE Suite 100 (No. and Street) 52402 Cedar Rapids IA (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 319-447-5700 Brian Rupp brupp@berthel.com (Area Code - Telephone Number) (Email Address) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Marcum LLP (Name – if individual, state last, first, and middle name) 60015 Nine Parkway North Suite 200 Deerfield (Address) (City) (State) (Zip Code) 10/16/2003 688 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form…Read the full text as markdown