Full text of BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.'s X-17A-5 filed 2025-03-12 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statement and Report of Independent Registered Public Accounting Firm December 31, 2024 Filed as a Public Document Pursuant to Rule 17a-5(d) of the Securities Exchange Act of 1934. \*\*\* PUBLIC DOCUMENT \*\*\* {1}------------------------------------------------ # TABLE OF CONTENTS | | Page | |---------------------------------------------------------|--------| | OATH OR AFFIRMATION | 1-2 | | REPORT OF INDEPENDENT RECISTERED PUBLIC ACCOUNTING FIRM | ತ | | FINANCIAL STATEMENT | | | Statement of Financial Condition | র্ব | | Notes to the Financial Statement | 5 - 10 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response:<br>12 | | | | | SEC FILE NUMBER 8-29426 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ FILING FOR THE PERIOD BEGINNING 1/01/2024 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION мамє оғ ғіям: 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) | | | |-----------------------------------------------------------------------------------------|-----------------------------------|--------------------------------|-----------------|--------------------------------------------| | Cedar Rapids | | IA | | 52402 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Brian Rupp | 319-447-5700<br>brupp@berthel.com | | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Marcum LLP | | | | | | (Name - if…Read the full text as markdown