Jason, Smith
Berthel Fisher Financial Services, Inc. and BFC Planning Inc
560 W Brown RdSuite 3001, 3rd Floor
Mesa, AZ 85201
6232037003
General Information
CRD#
2518521
Insurance License#
1003084
States Licensed in
AZ, WA, CO, FL, CA, KS, SC, VA, NV, UT
Years of Experience in Financial Services
28
Number of Years with Current Firm
5
Work Experience
Many of my clients are educators or from the healthcare sector. My goal and focus is to serve them with timely information and do my best to make clients feel their accounts are in good hands. Ideally, we want to limit risk and take advantage of bargains and good opportunities in the marketplace. As a independent Certified Financial Planner®, I do not have quotas to meet or proprietary products to sell.
Work with the following types of clients
Individual Investors, Businesses
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Wealth Management
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®
Securities Licenses
Series 63, Series 7, Series 65
Insurance and Annuity Licenses
Long Term Care, Variable Life, Variable Annuity, Life, Health, Annuity, Casualty, Disability, Property
Firm Information
Advisor's Number of Clients
200
Advisor's Number of Managed Clients
150
Advisor's Number of Planning Clients
200
Assets Managed by Advisor
Upon Request
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$20000
Compensation Methods
Based on Assets, Commissions
Fee % Based on Assets
0.65%
Additional Details on Charges
For IRA's and taxable managed accounts, my fee is 0.5%. The platform fee is 0.15%. The total is 0.65% per year and is charged on a quarterly basis. Assets are held at Fidelity or Schwab.
For employee retirement plans, we can offer 403b and 457 plans with a custodial fee of 0.2%.
Minimum Fee Charged for Managed Accounts
0.65% (0.5% +0.15%)
Education
B.A. - Economics
University of Michigan
09/01/1992 -06/30/1994
M.A. - Theology
Fuller Theological Seminary
01/01/2006 -05/31/2009
M.S. - Finance
Indiana University
01/01/2013 -05/31/2016
Disclosures
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1888397/financialplanners-Berthel-Fisher-Financial-Services,-Inc.-and-BFC-Planning-Inc-detailed-disclosure.html