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Rep Resources Department – Trade Principal


Berthel Fisher Companies is a national financial services firm which supports four unique companies designed to provide investment management and financial products and services to independent financial advisors and their clients.

We have the opportunity for a professional individual to assume the role of Trade Principal.  The primary role of the Trade Principal is to support all functions of the Trade Desk for the firm.  Day to day functions include, but are not limited to:

  • Review and approve trades on a daily basis
  • Process trade orders
  • Assist VP of Trading and Surveillance in monitoring regulatory changes
  • Answer incoming calls from Registered Representatives and Investment Advisor Representatives related to trade activity and account management
  • Perform daily account and data analysis

Desired candidates will present themselves professionally and have excellent written and oral communication skills.  Candidate must have excellent attention to detail and organizational skills.

3-5 years of financial services industry experience is required.  Trade desk or compliance role with options experience is preferred.  FINRA series 4, 7, 24, and 66 are required.

This position offers comprehensive benefits, including:

  • Health, dental and vision insurance
  • 401(k) safe harbor contribution
  • Paid time off
  • Short term and long-term disability coverage
  • On site fitness center


We offer a great working environment in a beautiful and professional office location. This is your opportunity to play a key role in the continued success of our company. Our culture is fast-paced, motivational and focused on improving our client’s lives.

If you are interested in this opportunity, please send your cover letter, resume, and salary requirements to