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William Thomas Stokes

Berthel, Fisher & Co. Financial Services, Inc.

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About William Thomas Stokes

William Stokes is a financial professional with over 40 years of experience in the industry. William is registered with Berthel, Fisher & Co. Financial Services, Inc. and BFC Planning, Inc., both of which have offices in Graham, North Carolina. William has a diverse background, having worked with various firms in different locations throughout his career. He has expertise in financial planning, portfolio management, and investment company products. William holds a Series 6 license, a Series 63 license, and the SIE exam. William also has earned the Chartered Financial Consultant designation.

Firm Information

William Stokes is currently registered with Berthel, Fisher & Co. Financial Services, Inc.. Berthel, Fisher & Co. Financial Services, Inc. is a corporation headquartered in CEDAR RAPIDS, IA that was formed on 1974-03-13. They have been approved by the SEC and registered in 51 states. The firm offers financial planning and portfolio management for individuals and selection of other advisers. They manage $742,220,394 in regulatory assets under management and have 3,481 total accounts. They have 92 licensed agents, 100 investment adviser representatives, 100 registered representatives, 100 investment advisory functions, and 50 adviser representatives for other investment advisers.
Berthel, Fisher & Co. Financial Services, Inc.

4201 42ND STREET NE

CEDAR RAPIDS, IA 52402

$742.22M

Assets Under Management

6

Total Clients

100

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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William Stokes’s Registration & Firm History

NC

03/02/2012 - Present

Berthel, Fisher & Co. Financial Services, Inc. (GRAHAM NC)

NC

06/17/2002 - 01/09/2006

RAYMOND JAMES FINANCIAL SERVICES, INC. (GRAHAM NC)

MA

06/21/1983 - 06/17/2002

MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)

VA

01/22/1992 - 04/20/1993

FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)

MA

06/06/1989 - 12/31/1991

MUTUAL SERVICE CORPORATION (BOSTON MA)

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Licenses & Designations

BC

Issued 06/20/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for William Thomas Stokes. Review regulatory record here.
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