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Jason Smith

Berthel Fisher Financial Services, Inc. and BFC Planning Inc

64 E Broadway Rd., Ste. 200

Tempe, AZ 85282

623-203-7003

General Information

CRD#

2518521

Insurance License#

1003084

States Licensed in

AZ, TX, WA, CO, FL, CA, KS, SC, VA

Years of Experience in Financial Services

25

Number of Years with Current Firm

1

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 PlannerĀ®, I do not have quotas to meet or proprietary products to sell.

I work with the following types of clients

Businesses, Individual Investors

Advisory Services Provided

Financial Planning for Individuals, Education Funding and Planning, Risk Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Investment Advice & Management, Financial Advice & Consulting, Money Management

Services

Investment Types

Stocks, Mutual Funds, Bonds, Exchange Traded Funds (ETFs)

I can meet clients in the following ways

Via Phone, Via Email, At your home, At my office, At your office, Video Conference

Compliance

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an 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 7, Series 63, Series 65

Insurance and Annuity Licenses

Disability, Property, Casualty, Annuity, Variable Life, Life, Variable Annuity, Long Term Care, Health

Firm Information

Advisor's Number of Clients

150

Advisor's Number of Managed Clients

70

Advisor's Number of Planning Clients

150

Assets Managed by Advisor

Upon Request

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$20000

Compensation Methods

Commissions

Fee % Based on Assets

0.65%

Additional Details on Charges

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.

Minimum Fee Charged for Managed Accounts

0.65% (0.5% +0.15%)

Education

M.S. - Finance

Indiana University
01/01/2013 - 05/31/2016

M.A. - Theology

Fuller Theological Seminary
01/01/2006 - 05/31/2009

B.A. - Economics

University of Michigan
09/01/1992 - 06/30/1994