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Thresa Ann Cochran

Other Names: Terry Cochran
Firm:
Berthel Fisher & Company Planning, Inc.
Additional Firm:
Securities Management and Research, Inc. ("Sm&R")
Type: Dual Registration
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Description

Thresa Cochran a financial professional at Berthel Fisher & Company Planning, Inc., a $10M dollar RIA based in Marion, IA. Thresa is also registered with Securities Management and Research, Inc. ("Sm&R"), a broker-dealer with 303 registered representatives nationwide. Thresa has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Thresa Ann Cochran has not answered any questions on Financial Q&A.

Top Guides

Thresa Ann Cochran has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Other Investment Advisors

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Berthel Fisher & Company Planning, Inc. 1 year, 6 months Nov 2011 - Present
Securities Management and Research, Inc. ("Sm&R") 21 years, 2 months Mar 1992 - Present
Ken Gallacher 24 years, 9 months Aug 1988 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/31/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
08/31/2012
03/16/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Municipal Fund Securities Principal Examination Series 51 12/19/2006
Investment Company Products/Variable Contracts Principal Examination Series 26 07/29/2002
Investment Company Products/Variable Contracts Representative Examination Series 6 04/30/1992
Uniform Securities Agent State Law Examination Series 63 04/06/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: SOLICITOR FEE