DT
Dana B. Tupper
MIDWESTERN SECURITIES TRADING COMPANY | Financial Advisor
EAST PEORIA, IL 61611
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CRD#: 5865505
DT
Professional summary
Dana Brandl Tupper, who also goes by Dana Brandl Sperber, Dana B Tupper, is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in East Peoria, Illinois.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Dana has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dana Brandl Sperber | Dana B Tupper
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)Name of Business: Bank of Luxemburg Address: 630 Main St, Luxemburg, WI, 54217, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 06/30/2016 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Open and service accounts for clients who have investment services relationships with Raymond James. Offer investment advice to investment services clients. (2)Name of Business: Kewaunee Public School District Board of Directors Address: 915 3rd Street, Kewaunee, WI, 54216, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Member - Clerk Investment Related: No Start Date: 04/26/2021 Hours per month devoted to this business: 6 Hours per month devoted to this business during trading hours: 0-2 Description of duties: Implement policies for local public school district. Counter sign checks. President and Treasurer are primary signers. Sign reports.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Brandl Tupper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dana Brandl Tupper'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
June 28, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611Office #2: 630 Main St, Luxemburg, WI 54217Office #3: 980 Marquette Dr, Kewaunee, WI 54216Office #4: 100 Old Orchard Ave, Casco, WI 54205Office #5: 166 County Road S, Luxemburg, WI 54217Office #6: 510 Second St, Algoma, WI 54201Office #7: 1311 Bellevue St, Green Bay, WI 54302Office #8: 325 Cardinal Ln, Green Bay, WI 54313Office #9: 519 S Lansing Ave, Sturgeon Bay, WI 54235Office #10: 9331 Spring Rd Unit B-20, Fish Creek, WI 54212RIA
BD
CRD#: 101080
EAST PEORIA, IL
Current
June 28, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611Office #2: 630 Main St, Luxemburg, WI 54217Office #3: 980 Marquette Dr, Kewaunee, WI 54216Office #4: 100 Old Orchard Ave, Casco, WI 54205Office #5: 166 County Road S, Luxemburg, WI 54217Office #6: 510 Second St, Algoma, WI 54201Office #7: 1311 Bellevue St, Green Bay, WI 54302Office #8: 325 Cardinal Ln, Green Bay, WI 54313Office #9: 519 S Lansing Ave, Sturgeon Bay, WI 54235Office #10: 9331 Spring Rd Unit B-20, Fish Creek, WI 54212RIA
BD
CRD#: 101080
EAST PEORIA, IL
Past
July 11, 2016 - July 3, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LUXEMBURG, WI
Past
March 31, 2016 - July 3, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Luxemburg, WI
Past
October 11, 2011 - March 8, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
KEWAUNEE, WI
Past
December 21, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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
RR
Arizona(6/28/2024)
RR
Florida(6/28/2024)
RR
Illinois(6/28/2024)
RR
Indiana(6/28/2024)
RR
Michigan(6/28/2024)
RR
Minnesota(6/28/2024)
RR
Montana(6/28/2024)
RR
Nebraska(6/28/2024)
RR
Nevada(6/28/2024)
RR
North Carolina(6/28/2024)
RR
Oklahoma(6/28/2024)
RR
Pennsylvania(6/28/2024)
RR
South Carolina(6/28/2024)
RR
Texas(6/28/2024)
RR
Utah(6/28/2024)
RR
Washington(6/28/2024)
RR
Wisconsin(6/28/2024)
IAR
Wisconsin(6/28/2024)
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)
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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
Financial AdvisorCRD#: 101080East Peoria, IL 61611TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
