Corey G. Kelly

Some features on this profile are disabled

CRD#: 2399203

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Corey Grant Kelly was a registered financial professional .

Corey is a previously registered financial professional and started their career in finance in 1993. Corey had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 5, 2012 - May 22, 2019

MIDWESTERN SECURITIES TRADING COMPANY, LLC

RIA

CRD#: 101080

PEORIA, IL

Past

October 5, 2012 - May 22, 2019

MIDWESTERN SECURITIES TRADING COMPANY, LLC

CRD#: 101080

PEORIA, IL

Past

July 15, 2009 - October 8, 2012

EDWARD JONES

RIA

CRD#: 250

PEORIA, IL

Past

May 20, 2009 - October 8, 2012

EDWARD JONES

CRD#: 250

PEORIA, IL

Past

May 18, 2004 - December 16, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

August 14, 2000 - August 28, 2003

CATERPILLAR SECURITIES INC.

CRD#: 25593

PEORIA, IL

Past

June 21, 1999 - September 15, 2000

OAK GROVE INVESTMENT SERVICES, INC.

CRD#: 46343

ROCHESTER, IL

Past

November 4, 1993 - March 30, 1999

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MIDWESTERN SECURITIES TRADING COMPANY, LLC

LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC

CRD#: 101080 / SEC#: 801-77948, 8-52074

RIA

Registered Investment Advisory firm - SEC (4/18/2013 Approved)

Illinois

Registered Investment Advisory firm - SEC (4/18/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/29/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/14/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MIDWESTERN SECURITIES TRADING COMPANY, LLC

LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC

CRD#: 101080 / SEC#: 801-77948, 8-52074

RIA

Registered Investment Advisory firm - SEC (4/18/2013 Approved)

Illinois

Registered Investment Advisory firm - SEC (4/18/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

235 Everett St, East Peoria, IL 61611

Mailing Address

235 Everett St P.o. Box 2528, East Peoria, IL 61611

Phone number

(309) 699-6786

Established

Illinois since 12/10/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

104

SEC notice filing (38 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A MIDWESTERN SECURITIES TRADING COMPANY LLC (6/30/2025)

MSTC WRAP FEE PROGRAM BROCHURE (6/30/2025)

PART2B FOR IARS OF MSTC (REQUESTED BY NY) (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
GRAHAM, MICHAEL JOHN	CHIEF EXECUTIVE OFFICER/PRESIDENT	2726573
WHITE, NATHAN WILLIAM	CHIEF FINANCIAL OFFICER/VICE PRESIDENT	4384158
TARABOLETTI, CASSANDRA LEE	CHIEF OPERATIONS OFFICER/2ND VICE PRESIDENT	5090888
WEBER, JEFFREY LEE	CHIEF COMPLIANCE OFFICER	2709671

Regulatory assets under management

Total Number of Accounts	10,329
AUM (Assets Under Management)	$ 1,627,322,417

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Corey G. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MIDWESTERN SECURITIES TRADING COMPANY, LLC

EDWARD JONES

EDWARD JONES

FARMERS FINANCIAL SOLUTIONS, LLC

CATERPILLAR SECURITIES INC.

OAK GROVE INVESTMENT SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

MIDWESTERN SECURITIES TRADING COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2009

Series 63

Date: 10/14/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2009

Series 6

Date: 10/14/1993

Current Firm

MIDWESTERN SECURITIES TRADING COMPANY, LLC

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MIDWESTERN SECURITIES TRADING COMPANY, LLC

TRUST BUT VERIFY

Similar Advisors