Broker Check

CUSTOMER RELATIONSHIP SUMMARY (FORM CRS)

REGULATION BEST INTEREST DISCLOSURE

FORM ADV 2A

PRIVACY POLICY/BUSINESS CONTINUITY PLAN (BCP)

If you are unable to reach your financial professional, please contact Berthel Fisher at 800-356-5234.

SEC QUALITY OF EXECUTION REPORTS

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

BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. (BFCFS)

Securities Management & Resources, Inc. (SM&R)