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MIDWESTERN SECURITIES TRADING CO.,LLC

EAST PEORIA, IL · CRD 101080 · IAPD ↗ · 309-699-6786

$1.98BRegulatory AUM
43Advisory reps
105Employees
0Clients
1-10Planning clients
0Private funds
44States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

51
April 2026 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in MT, NJ, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — MIDWESTERN SECURITIES TRADING CO.,LLC added office(s): 76 -> 85 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
March 2026 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
December 2025 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in ND, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — MIDWESTERN SECURITIES TRADING CO.,LLC added office(s): 71 -> 76 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2025 — MIDWESTERN SECURITIES TRADING CO.,LLC reported RAUM up 29% ($1.26B -> $1.63B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
December 2024 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — MIDWESTERN SECURITIES TRADING CO.,LLC added office(s): 56 -> 71 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
March 2024 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
February 2024 — MIDWESTERN SECURITIES TRADING CO.,LLC notice-filed in AR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.