A complete list of active advisors currently associated with Midwestern Securities Trading Company, LLC

Warmer can help you find a great advisor at Midwestern Securities Trading Company, LLC or one who fits your needs even better.

Midwestern Securities Trading Company, LLC serves a broad mix of individual clients (both non‑HNW and high‑net‑worth), as well as corporate and retirement‑plan sponsors, charities, and other institutional clients. The firm provides financial planning and portfolio management, operates a wrap‑style model program called Midwestern Securities Lighthouse Portfolios™ (with related Beacon variants), offers ERISA 3(38) retirement plan services, and refers clients to third‑party managers via platforms such as Envestnet. Advice is delivered through a mix of discretionary model portfolios and predominantly non‑discretionary managed accounts; Lighthouse and Beacon portfolios are overseen by an internal IA committee and set distributions to cash, while many other accounts require client confirmation for trades. The firm combines fundamental, technical and charting analysis with third‑party research, conducts periodic account reviews (at least semi‑annually or annually), and permits third‑party managers to exercise discretion only with client consent. Noteworthy distinctions from many large peers include the firm’s dual registration and active broker‑dealer operations—many advisory representatives are FINRA‑registered and the firm both effects brokerage transactions and receives commission‑based revenue—while stating that certain mutual‑fund 12b‑1 fees are rebated to clients. The brochure also discloses an unusually large client base relative to its 51 advisors (resulting in high clients‑per‑advisor ratios), use of a bank deposit sweep program through its clearing/custodial arrangement that generates direct compensation, and supervisory, disclosure and rebate practices intended to address the conflicts those arrangements create.

To learn more about the advisors currently working at Midwestern Securities Trading Company, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.