James P. Conklin

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CRD#: 4614303

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.

James Patrick Conklin, who also goes by Jim Conklin, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Conklin

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

February 15, 2013 - March 22, 2013

MIDWESTERN SECURITIES TRADING COMPANY, LLC

RIA

CRD#: 101080

CRYSTAL LAKE, IL

Past

February 15, 2013 - March 22, 2013

MIDWESTERN SECURITIES TRADING COMPANY, LLC

CRD#: 101080

EAST PEORIA, IL

Past

February 6, 2006 - June 20, 2012

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

BARRINGTON, IL

Past

February 6, 2006 - June 20, 2012

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

BARRINGTON, IL

Past

March 16, 2004 - February 3, 2006

WOLF FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 44225

HOFFMAN ESTATES, IL

Past

January 31, 2003 - February 3, 2006

WOLF FINANCIAL MANAGEMENT, LLC

CRD#: 44225

OAKBROOK TERRACE, IL

Past

December 18, 2002 - January 31, 2003

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

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 65

Date: 1/17/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/17/2002

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

James P. Conklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MIDWESTERN SECURITIES TRADING COMPANY, LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

WOLF FINANCIAL MANAGEMENT, LLC

WOLF FINANCIAL MANAGEMENT, LLC

EQUITY SERVICES, INC.

Primary Firm SEC Registration

MIDWESTERN SECURITIES TRADING COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2004

Series 63

Date: 12/23/2002

Series 7

Date: 6/20/2003

Series 6

Date: 12/17/2002

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

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