Berthel Fisher & Company Financial Services, Inc.

Documents & Disclosures

• Privacy Policy
• Business Continuity Plan (BCP)
• Form ADV, Part II
• Revenue Sharing Disclosure

Quality of Execution Reports

In compliance with SEC Rule 11Ac1-6 Quality of Execution, BFCFS customers may view a disclosure of the firm's order routing practice by reviewing the following links. Additionally, if requested, BFCFS will provide you with a paper copy of any of the reports.

• First Clearing, LLC
• National Financial Services, LLC
• Pershing, LLC - Please note: to access BFCFS's information, you will be required to enter Berthel Fisher & Company in the broker dealer name field.