MIDWESTERN SECURITIES TRADING CO.,LLC

MIDWESTERN SECURITIES TRADING COMPANY, LLC Legal Name

Adviser information for MIDWESTERN SECURITIES TRADING CO.,LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Illinois, United States

Employees

Total Number of Employees	79
Investment Advisory/Research	38
Registered Broker-Dealer Representatives	39
Registered State Investment Advisers	13
Licensed Agents of an Insurance Company	40
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	3,708	$615.8M
Non-Discretionary	4,744	$647.2M
Total	8,452	$1.3B

Clients

Type	Number	RAUM
Individuals	8,223	$938.0M
HNW Individuals	131	$248.5M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	98	$76.5M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsPORTFOLIO MANAGEMENT FOR 401(K) RETIREMENT PLANS DEFINED IN SECTION 3(38) OF ERISA RULES
Compensation	% of AUMHourly chargesFixed feesCommissionsA PERCENTAGE OF ASSETS UNDER 3RD PARTY MANAGEMENT
Other Business Activities	Broker-dealerRegistered representative of a broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	517.5M

Portfolio Manager to Program	Sponsor
MIDWESTERN SECURITIES LIGHTHOUSE PORTFOLIOS	MIDWESTERN SECURITIES TRADING CO LLC

Identifiers

SEC RIA File Number	801-77948
SEC ERA File Number	801-77948
SEC CIK Numbers	None
SEC CRD Numbers	101080
Legal Entity Identifier	None

Principal Office

300 E WASHINGTON STREET SUITE 3
EAST PEORIA
IL
United States

Monday - Friday, 8:00 - 4:30

Tel: 309-699-6786, Fax: 309-699-7498

Websites

www.facebook.com/tfcwealthmanagement www.facebook.com/investwithpearl/ www.facebook.com/sfb-investment-center-103081078920887 www.facebook.com/sbtwm/ www.youtube.com/channel/ucmdpt52zjqzzv6lwegn3kzw www.facebook.com/midwesternsecurities/ www.facebook.com/investafs www.facebook.com/investwithfnb/ www.facebook.com/bradfordwealthmanagement/ www.youtube.com/channel/ucjydzqcbysmkxcpbf3g5c4w www.linkedin.com/company/10307859/ www.facebook.com/investwithjga/ www.facebook.com/saukvalleyinvestmentservices/ www.midwesternsecurities.com www.linkedin.com/company/1960488/ www.facebook.com/fnbassetmanagement/ www.investwithjga.com www.facebook.com/heartlandfinancialservices www.facebook.com/investwithgraymont/ www.facebook.com/theharvardstateinvestmentservices/ www.facebook.com/cbwealthpartners www.facebook.com/hendrickscountywealthadvisors www.facebook.com/tremontfirstfinancialservices www.linkedin.com/company/investafs/

Chief Compliance Officer

JEFFREY WEBER

300 E WASHINGTON STREET SUITE 3

PO BOX 2528

EAST PEORIA

United States

Tel: 309-699-6786

Fax: 309-699-7498

J*****@***********************M

(Full email address available in API data)

Regulatory Contact

MICHAEL GRAHAM

PRESIDENT