TH
Tate R. Hartman
MIDWESTERN SECURITIES TRADING COMPANY
Springfield, IL 62703
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CRD#: 6417599
TH
Professional summary
Tate Robert Hartman, CFP®, who also goes by Tate R Hartman, Tate Hartman, is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in Springfield, Illinois.
Tate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Tate has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tate R Hartman | Tate Hartman
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.) HEARTLAND CREDIT UNION, 2213 W WHITE OAKS DRIVE SPRINGFIELD, IL 62704, FINANCIAL ADVISOR, STARTED 02/2015, INVESTMENT RELATED, 40 HOURS/WEEK BOTH DURING AND OUTSIDE MARKET HOURS 2.) MSTC Investment Committee, 300 E. Washington St. Ste. 3 East Peoria, IL 61611, Investment Committee Member, Started 01/2019, Investment Related, 8-10 hours/month both during and outside market hours. 3.) Rotary Club of Springfield South, 2763 S 6th St. Springfield, IL 62704, Started 07/01/2018, Non-Investment Related, Civic Organization, Member, 5-8 hours/Month both during and outside or market hours. 4.) 100+ PEOPLE WHO CARE IN SPRINGFIELD, NON-PROFIT FUNDRAISER, TREASURER/BOARD OF DIRECTORS, STARTED 01/01/2020, NON-INVESTMENT RELATED, 2 HOURS/MONTH OUTSIDE OF MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Tate Robert Hartman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tate Robert Hartman'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®
CFP®
Start date: 2017
Experience
Current
February 25, 2015 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 610 East St. Joseph Street, Springfield, IL 62703RIA
BD
CRD#: 101080
Springfield, IL
Current
December 10, 2014 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 610 East St. Joseph Street, Springfield, IL 62703RIA
BD
CRD#: 101080
Springfield, 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
Colorado(9/27/2019)
RR
Florida(1/14/2024)
RR
Illinois(2/25/2015)
IAR
Illinois(2/25/2015)
RR
Michigan(5/29/2025)
RR
Missouri(1/28/2020)
IAR
Texas(11/9/2022)
Exams
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MIDWESTERN SECURITIES TRADING COMPANY, LLC
CRD#: 101080Springfield, IL 62703TRUST BUT VERIFY
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