BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Legal name: BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.
CRD #13609 SEC #801-62277 CEDAR RAPIDS, IA 319-447-5700
SEC Registered Broker-Dealer
Total AUM
$798.1M
Discretionary
$508.7M
Employees
100
Clients
25
Accounts
3,408
Firm Details
- Organization Type
- Corporation
- State of Formation
- Iowa
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 26, 2025
- Branch Offices
- 100
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, KAREN DIANE | I | VICE PRESIDENT OF UNDERWRITING | NA | |
| ANDERSON, KAREN DIANE | I | VICE PRESIDENT OF UNDERWRITING | NA | |
| AULD, JEFFREY MICHAEL | I | PRESIDENT | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT | NA | Control |
| AULD, JEFFREY MICHAEL | I | PRESIDENT | NA | Control |
| BERNER, SARAH MAIRE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | |
| BERNER, SARAH MAIRE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | |
| BERNER, SARAH MAIRE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | |
| BERNER, SARAH MAIRE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | |
| BERNER, SARAH MAIRE | I | ASSISTANT CHIEF COMPLIANCE OFFICER | NA | |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CEO/CHAIRMAN OF THE BOARD/PRESIDENT (A/O 11/9/17) | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CHAIRMAN OF THE BOARD/EXECUTIVE VICE PRESIDENT | NA | Control |
| BERTHEL, THOMAS JOSEPH | I | CHAIRMAN OF THE BOARD/EXECUTIVE VICE PRESIDENT | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O./C.F.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/C.O.O. | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15)/CHIEF OPERATING OFFICER | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | Control |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | |
| BRENDENGEN, RONALD ODIN | I | TREASURER/CHIEF FINANCIAL OFFICER (A/O 7/30/15) | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| BURKE, ERIN KATHLEEN | I | CHIEF COMPLIANCE OFFICER/CHIEF RISK OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | SENIOR VICE PRESIDENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | SENIOR VICE PRESIDENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | SENIOR VICE PRESIDENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | SENIOR VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | SENIOR VICE PRESIDENT BUSINESS DEVELOPMENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER (A/O 11/2017) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER (A/O 11/2017) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER (A/O 11/2017) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER (A/O 11/2017) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/O 07/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/O 07/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/O 07/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/O 07/2019) | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF OPERATING OFFICER | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | |
| CHRISTOFFERSON, ANDREW JAMES | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| CRAFT, DONNA MARIE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVENPORT, SHELLEY RAE | I | CHIEF COMPLIANCE OFFICER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER-BROKER/DEALER | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | ASSISTANT VP | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DAVENPORT, SHELLEY RAE | I | VICE PRESIDENT LEGAL & REGULATORY MATTERS (A/O 11/2017) | NA | |
| DRISCOLL, JULIE KAY | I | VICE PRESIDENT ADMINISTRATION & CORPORATE DEVELOPMENT | NA | |
| DRISCOLL, JULIE KAY | I | VICE PRESIDENT ADMINISTRATION & CORPORATE DEVELOPMENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | VICE PRESIDENT ADMINISTRATION & CORPORATE DEVELOPMENT | NA | |
| DRISCOLL, JULIE KAY | I | VICE PRESIDENT ADMINISTRATION & CORPORATE DEVELOPMENT | NA | |
| DRISCOLL, JULIE KAY | I | VICE PRESIDENT ADMINISTRATION & CORPORATE DEVELOPMENT | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | EXECUTIVE VICE PRESIDENT | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/ASSISTANT SECRETARY | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/SECRETARY (A/O 10/30/2014) | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/ASSISTANT SECRETARY | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/ASSISTANT SECRETARY | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/ASSISTANT SECRETARY | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/SECRETARY (A/O 10/30/2014) | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/SECRETARY (A/O 10/30/2014) | NA | |
| DRISCOLL, JULIE KAY | I | SENIOR VICE PRESIDENT/SECRETARY (A/O 10/30/2014) | NA | |
| DRISCOLL, JULIE KAY | I | SECRETARY (A/O 10/30/2014) | NA | |
| DRISCOLL, JULIE KAY | I | SECRETARY (A/O 10/30/2014) | NA | |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FISHER, FREDERICK PAUL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FORD, SUZANNE LYNN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| FORD, SUZANNE LYNN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| FORD, SUZANNE LYNN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| FORD, SUZANNE LYNN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HANNAH, STEVE CHESTER | I | CHIEF INFORMATION OFFICER | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| HOHN, JAMES RALPH | I | VICE PRESIDENT/TECHNOLOGY | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MEIER, JASON ALAN | I | VICE PRESIDENT OF OPERATIONS | NA | |
| MINEART, CRAIG VINCENT | I | VICE PRESIDENT OF TRADING | NA | |
| MURPHY, RICHARD MAURICE | I | VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | SENIOR VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | SENIOR VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | SENIOR VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | SENIOR VICE PRESIDENT/SYNDICATE MANAGER | NA | |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| MURPHY, RICHARD MAURICE | I | EXECUTIVE VICE PRESIDENT | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| NOETHEN, BRITTANY MICHELLE | I | CHIEF TECHNOLOGY OFFICER | NA | |
| O'HARA, KELLY | I | VICE PRESIDENT/CONTROLLER | NA | |
| O'HARA, KELLY | I | VICE PRESIDENT/CONTROLLER | NA | |
| O'HARA, KELLY | I | VICE PRESIDENT/CONTROLLER | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | SENIOR VICE PRESIDENT, BROKER SUPPORT | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| PETERMAN, TOBI LANE | I | VICE PRESIDENT/OPERATIONS | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 7/23/14) | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER/DEALER | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 7/23/14) | NA | |
| REIGHARD-KEAN, VICKI LIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 7/23/14) | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | VICE PRESIDENT/CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | TREASURER (A/O 11/5/2020) /VICE PRESIDENT/ CONTROLLER | NA | |
| RUPP, BRIAN | I | CHIEF FINANCIAL OFFICER/TREASURER (A/O 11/5/2020) | NA | |
| RUPP, BRIAN | I | CHIEF FINANCIAL OFFICER/TREASURER (A/O 11/5/2020) | NA | |
| SCHAUL, JOANNA MARIE | I | VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | |
| SCHAUL, JOANNA MARIE | I | VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | |
| SCHAUL, JOANNA MARIE | I | VICE PRESIDENT/BUSINESS DEVELOPMENT | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VICE PRESIDENT/OPERATING OFFICER | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | SENIOR VP ADMINISTRATION/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | CHIEF ADMINISTRATION OFFICER/SECRETARY (A/O 11/2017) | NA | |
| SCHAUL, JOANNA MARIE | I | CHIEF ADMINISTRATION OFFICER/SECRETARY (A/O 11/2017) | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SMITH, LESLIE DONALD | I | SECRETARY | NA | |
| SPENCER, NATHANAEL | I | VICE PRESIDENT OF BUSINESS DEVELOPMENT | NA | |
| SPENCER, NATHANAEL | I | VICE PRESIDENT OF BUSINESS DEVELOPMENT | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | VP ADVISOR RELATIONSHIPS AND STRATEGY CONSULTING | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | VP ADVISOR RELATIONSHIPS AND STRATEGY CONSULTING | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | VP ADVISOR RELATIONSHIPS AND STRATEGY CONSULTING | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | VP ADVISOR RELATIONSHIPS AND STRATEGY CONSULTING | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | VP ADVISOR RELATIONSHIPS AND STRATEGY CONSULTING | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 03/2019) | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | |
| SWARTZENDRUBER, PAIGE NICHOLE | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | VICE PRESIDENT/CONTROLLER | NA | |
| WEGMANN, DANIEL PETER | I | C.F.O. | NA | |
| WEGMANN, DANIEL PETER | I | C.F.O. | NA | |
| WEGMANN, DANIEL PETER | I | C.F.O. | NA | |
| WEGMANN, DANIEL PETER | I | C.F.O. | NA | |
| WEGMANN, DANIEL PETER | I | C.F.O. | NA | |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT EMERITUS | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT | NA | Control |
| WHEELAN, DWIGHT EUGENE | I | PRESIDENT | NA | Control |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING/CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING/CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING/CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT OF TRADING | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER -RIA, ASSISTANT CCO (A/O 06/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER-RIA | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 3/2016) & CHIEF COMPLIANCE OFFICER-RIA (A/O 6/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER -RIA, ASSISTANT CCO (A/O 06/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 3/2016) & CHIEF COMPLIANCE OFFICER-RIA (A/O 6/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER, BROKER-DEALER/VP REP RESOURCES (A/O 3/2016) & CHIEF COMPLIANCE OFFICER-RIA (A/O 6/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | REG. VP BUSINESS DEVELOPMENT WESTERN REGION (A/O 5/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | CHIEF COMPLIANCE OFFICER (A/O 3/2016) & CHIEF COMPLIANCE OFFICER-RIA (A/O 6/2014) | NA | |
| WILCOX, RANDY AUSTIN | I | REG. VP BUSINESS DEVELOPMENT WESTERN REGION (A/O 5/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VP BUSINESS DEVELOPMENT (A/O 7/2018) | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY AUSTIN | I | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | NA | |
| WOOD, KIRBY KENT | I | VICE PRESIDENT, INSURANCE | NA | Control |
| ZAISER, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| ZAISER, TOBI LANE | I | VICE PRESIDENT OF OPERATIONS | NA | |
| BERTHEL FISHER & COMPANY , INC. | DE | 80.1% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| BERTHEL FISHER & COMPANY , INC. | DE | 100% OWNER | E | Control |
| FARM BUREAU LIFE INSURANCE | DE | SHAREHOLDER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FBL FINANCIAL GROUP, INC. | DE | FARM BUREAU LIFE INSURANCE | E | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FARM BUREAU LIFE INSURANCE COMPANY | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | Control |
Registrations
Federal
IA
Mar 26, 2025 REGISTERED
Notice Filings (46)
AL AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA SC SD TN TX UT VA VT WA WI WV
Address
4201 42ND STREET NESUITE 100
CEDAR RAPIDS, IA 52402
United States
Phone: 319-447-5700