EB
Eric P. Benes
MIDWESTERN SECURITIES TRADING COMPANY
St Louis, MO 63123
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CRD#: 7348193
EB
Professional summary
Eric Paul Benes is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in St Louis, Missouri.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Eric has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE 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.
1.) JOHN GRAHAM AND ASSOCIATES 300 E WASHINGTON ST EAST PEORIAIL 61611, FINANCIAL CONSULTANT, STARTED 10/2021, INVESTMENT-RELATED, 40 HOURS/WEEK BOTH DURING AND OUTSIDE MARKET HOURS. 2. RUSHVILLE STATE BANK, 105 N CONGRESS ST RUSHVILLE IL 62681, FINANCIAL CONSULTANT, STARTED 08/2023, INVESTMENT RELATED, 8 HOURS/WEEK DURING AND OUTSIDE MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Paul Benes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Paul Benes'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 8, 2022 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 6300 South Lindbergh Blvd, St Louis, MO 63123Office #2: 102 West Main Street, Toulon, IL 61483Office #3: 14422 Manchester Rd, Manchester, MO 63011Office #4: 105 N Congress Street, Rushville, IL 62681Office #5: 235 Everett St, East Peoria, IL 61611Office #6: 235 Everett St, East Peoria, IL 61611Office #7: 210 Sw 2nd Ave, Galva, IL 61434Office #8: 635 Tenney Street, Kewanee, IL 61443RIA
BD
CRD#: 101080
St Louis, MO
Current
October 25, 2021 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 6300 South Lindbergh Blvd, St Louis, MO 63123Office #2: 102 West Main Street, Toulon, IL 61483Office #3: 14422 Manchester Rd, Manchester, MO 63011Office #4: 105 N Congress Street, Rushville, IL 62681Office #5: 235 Everett St, East Peoria, IL 61611Office #6: 235 Everett St, East Peoria, IL 61611Office #7: 210 Sw 2nd Ave, Galva, IL 61434Office #8: 635 Tenney Street, Kewanee, IL 61443RIA
BD
CRD#: 101080
St Louis, MO
Past
May 1, 2021 - October 27, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Richfield, OH
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(3/21/2025)
RR
Arizona(1/4/2023)
RR
Arkansas(1/11/2024)
RR
California(1/4/2023)
RR
Colorado(1/11/2024)
RR
Florida(1/4/2023)
RR
Illinois(10/25/2021)
IAR
Illinois(3/8/2022)
RR
Indiana(6/9/2022)
RR
Iowa(1/4/2023)
RR
Kansas(1/11/2024)
RR
Louisiana(1/4/2023)
RR
Maryland(9/6/2023)
RR
Missouri(6/1/2022)
RR
New Mexico(7/3/2024)
RR
New York(9/20/2024)
RR
North Carolina(1/4/2023)
RR
Ohio(1/5/2023)
RR
South Carolina(1/4/2023)
RR
Texas(1/4/2023)
IAR
Texas(8/7/2023)
RR
Washington(1/4/2023)
RR
Wisconsin(9/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/30/2021
General Securities Representative ExaminationGeneral 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.
