Full text of BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.'s X-17A-5 filed 2024-03-18 (period 2023-12-31). 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, 2023 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 REGISTERED PUBLIC ACCOUNTING FIRM | ತೆ | | 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 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | | | ### sec file number 8-29426 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FIFING FOR THE PERIOD BEGINNING 1/01/2023 | AND ENDING 12/31/2023 | | |-------------------------------------------|-----------------------|--| | | | | MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Berthel Fisher & Company Financial Services, Inc 1 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 | | | | | | | 319-447-5700<br>Brian Rupp | | brupp@berthel.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. Accountant Identification | | | | | | Marcum LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | Nine Parkway North Suite 200 Deerfield | | 60015 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/16/2003 | | 688 | | | | 10/16/2003 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Nu…Read the full text as markdown