Full text of BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Independent Auditor's Report December 31 , 2021 **Filed as a Public Document Pursuant to Rule 17a-S(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 REGISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 4 | | Notes to the Financial Statements | 5 - 10 | {2}------------------------------------------------ | | | UNITED STATES | | 0MB APPROVAL | | | | |-----------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|--------------------------------|---------|-------------------------------------------------------------------------------------------------------|--|--|--| | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | 0MB Number: 3235·0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | | | | | | | | | | | | ANNUAL REPORTS | | SEC FILE NUMBER | | | | | | | FORM X-17A-5 | | 8-29426 | | | | | | | PART Ill | | | | | | | | | 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 /Q 1 /2021 | | | | AND ENDING 12/31/2021 | | | | | | | MM/0D/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | | | | NAME m FIRM: Berthe! Fisher & Company Financial Services, Inc | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | | l!J Broker-dealer | □ Security-based swap dealer | 0 Major sec | | urity-based swap participant | | | | | □ Check here If respondent Is also an OTC derivatives dealer | | | | | | | | | | | | | | | | | | | | | | | | | | | ADDRESS OF PR INCIPAL 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 | | | | | | | | |…Read the full text as markdown