BC
Brian H. Card
MIDWESTERN SECURITIES TRADING COMPANY
Mackinaw, IL 61755
Some features on this profile are disabled
CRD#: 4762530
BC
Professional summary
Brian Howard Card is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in Mackinaw, Illinois.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
PRINCEVILLE HISTORICAL ASSOCIATION, NON-INVESTMENT RELATED, NOT FOR PROFIT MUSEUM, FINANCE CHAIRMAN, 325 N OSTROM AVE, PRINCEVILLE, IL 61559, DUAL CONTROL IN PLACE,STARTED IN 07/2010, 5 HOURS PER MONTH/VOLUNTEER OUTSIDE OF MARKET HOURS Princeville State Bank, 142 E Main St Princeville IL 61559, Financial Advisor, Started 02/2010, Investment Related, 20 hours/ week both during and outside market hours First Security Bank-Mackinaw, 101 E Fast Ave Mackinaw IL 61755, Financial Advisor, Started 08/2016, Investment Related, 20 hours/ week both during and outside market hours. Also a member of the Board of Directors, Non-Investment Related, 2 to 4 hours/month both during and outside market hours. Morton Pumpkin Festival Drive Thru, Morton IL 61550, Co-Chairman, Started 01/2023, Non-Investment Related, 0 hours/month during market hours, 2.5 hours/month outside of market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Howard Card's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Howard Card'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
March 1, 2010 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 101 East Fast Street Avenue, Mackinaw, IL 61755Office #2: 4924 W. American Prairie Dr., Peoria, IL 61615Office #3: 142 E. Main St., Princeville, IL 61559RIA
BD
CRD#: 101080
Mackinaw, IL
Current
March 1, 2010 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 101 East Fast Street Avenue, Mackinaw, IL 61755Office #2: 4924 W. American Prairie Dr., Peoria, IL 61615Office #3: 142 E. Main St., Princeville, IL 61559RIA
BD
CRD#: 101080
Mackinaw, IL
Past
March 10, 2008 - March 12, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
LAFAYETTE, IN
Past
March 10, 2008 - March 12, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
LAFAYETTE, IN
Past
January 29, 2007 - March 10, 2008
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
LAFAYETTE, IN
Past
May 15, 2006 - May 2, 2008
BISON INVESTMENT ADVISORS, INC.
RIA
CRD#: 122462
LAFAYETTE, IN
Past
June 27, 2005 - March 10, 2008
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
LAFAYETTE, IN
Past
August 11, 2004 - June 9, 2005
PFS INVESTMENTS INC.
BD
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".
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(6/19/2018)
RR
Arizona(12/12/2019)
RR
Florida(5/10/2019)
RR
Georgia(5/10/2019)
RR
Illinois(3/1/2010)
IAR
Illinois(3/1/2010)
RR
Indiana(3/1/2010)
RR
Iowa(1/4/2022)
RR
Kansas(8/9/2017)
RR
Kentucky(4/8/2015)
RR
Maryland(1/2/2019)
RR
Michigan(3/1/2010)
RR
Montana(6/3/2025)
RR
Ohio(6/25/2013)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(4/14/2020)
IAR
Texas(1/5/2021)
RR
Texas(2/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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)
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#: 101080Mackinaw, IL 61755TRUST BUT VERIFY
Monitor Brian Card
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
