MM
Mark A. Montes De Oca
MIDWESTERN SECURITIES TRADING COMPANY
Fisher, IL 61843
Some features on this profile are disabled
CRD#: 6232168
MM
Professional summary
Mark Anthony Montes De Oca, who also goes by Mark Montes De Oca, is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in Fisher, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Mark has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Montes De Oca
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.
Fisher National Bank, 102 E Division St Fisher, Illinois 61834, Financial Advisor, Started 06/2023, Investment Related, 40 Hours/Week both during and outside Market Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony Montes De Oca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Anthony Montes De Oca'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 22, 2023 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 102 E Division St, Fisher, IL 61843Office #2: 1501 East Oak Street, Mahomet, IL 61853Office #3: 202 S Sandusky St, Catlin, IL 61817Office #4: 3105 S Staley Rd, Champaign, IL 61822Office #5: 2490 N Vermilion St, Danville, IL 61832Office #6: 109 E Vermilion St, Catlin, IL 61817RIA
BD
CRD#: 101080
Fisher, IL
Current
June 22, 2023 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 102 E Division St, Fisher, IL 61843Office #2: 1501 East Oak Street, Mahomet, IL 61853Office #3: 202 S Sandusky St, Catlin, IL 61817Office #4: 3105 S Staley Rd, Champaign, IL 61822Office #5: 2490 N Vermilion St, Danville, IL 61832Office #6: 109 E Vermilion St, Catlin, IL 61817RIA
BD
CRD#: 101080
Fisher, IL
Past
July 15, 2020 - June 10, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BLOOMINGTON, IL
Past
June 5, 2020 - June 10, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BLOOMINGTON, IL
Past
February 27, 2018 - September 11, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
BLOOMINGTON, IL
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
BLOOMINGTON, IL
Past
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
BLOOMINGTON, IL
Past
August 15, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
April 3, 2014 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
BLOOMINGTON, 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
RR
Florida(10/2/2025)
RR
Illinois(6/22/2023)
IAR
Illinois(6/22/2023)
RR
Indiana(8/29/2023)
RR
Tennessee(6/17/2024)
RR
Texas(1/17/2024)
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)
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.
