MT
Marc J. Theien
MIDWESTERN SECURITIES TRADING COMPANY
Harvard, IL 60033
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CRD#: 2823651
MT
Professional summary
Marc Jonathan Theien is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in Harvard, Illinois.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Marc has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) THE HARVARD STATE BANK - 35 N AYER STREET, HARVARD, IL 60033 ; FINANCIAL ADVISOR, STARTED 04/2021, INVESTMENT RELATED, 40 HOURS/WEEK BOTH DURING AND OUTSIDE MARKET HOURS. 2.) TRINITY LUTHERAN CHURCH; 200 N FIRST ST. ROCKFORD, IL 61107; NON-INVESTMENT RELATED; TREASURER - CHECK SIGNING AUTHORITY ONLY; STARTED 06/2018; 3 HOURS OUTSIDE OF MARKET HOURS; 0 HOURS DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Jonathan Theien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Jonathan Theien's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 1, 2018 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 35 N. Ayer St, Harvard, IL 60033Office #2: 510 W Washington St, Oregon, IL 61061Office #3: 2470 Eastrock Dr, Rockford, IL 61108RIA
BD
CRD#: 101080
Harvard, IL
Current
August 1, 2018 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 35 N. Ayer St, Harvard, IL 60033Office #2: 510 W Washington St, Oregon, IL 61061Office #3: 2470 Eastrock Dr, Rockford, IL 61108RIA
BD
CRD#: 101080
Harvard, IL
Past
August 11, 2016 - August 1, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ROCKFORD, IL
Past
August 11, 2016 - August 1, 2018
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ROCKFORD, IL
Past
August 11, 2015 - August 10, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ROCKFORD, IL
Past
August 11, 2015 - August 10, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROCKFORD, IL
Past
July 11, 2013 - June 15, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
DEKALB, IL
Past
May 21, 2013 - June 15, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
DEKALB, IL
Past
June 21, 2010 - May 17, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKFORD, IL
Past
June 21, 2010 - May 17, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKFORD, IL
Past
March 2, 2009 - July 1, 2010
AMCORE INVESTMENT SERVICES, INC
RIA
CRD#: 27708
ROCKFORD, IL
Past
November 26, 1996 - July 1, 2010
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
ROCKFORD, IL
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".
MS
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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(1/10/2022)
RR
Florida(8/1/2018)
RR
Illinois(8/1/2018)
IAR
Illinois(8/1/2018)
RR
Michigan(1/11/2024)
RR
North Carolina(1/11/2024)
RR
South Carolina(1/11/2024)
RR
Wisconsin(3/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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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)
Direct owners and executive officers
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.
Company Information
MIDWESTERN SECURITIES TRADING COMPANY, LLC
CRD#: 101080Harvard, IL 60033TRUST BUT VERIFY
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