KC
Kendall M. Cox
MIDWESTERN SECURITIES TRADING COMPANY
Paxton, IL 60957
Some features on this profile are disabled
CRD#: 7747096
KC
Professional summary
Kendall Michael Cox is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in Paxton, Illinois.
Kendall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Kendall has worked at 1 firm and has passed the Series 66, 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.
THE FREDERICK COMMUNITY BANK, 106 N MARKET ST PAXTON IL 60957, FINANCIAL ADVISOR, STARTED 12/2022, INVESTMENT RELATED, 40 HOURS/WEEK BOTH DURING AND OUTSIDE MARKET HOURS. COX-KNAPP FUNERAL HOME, 142 W PATTON ST PAXTON IL 60957, STARTED 08/2019, NON-INVESTMENT RELATED, FUNERAL SERVICE, LICENSED FUNERAL DIRECTOR & EMBALMER, AND CO-OWNER, ON CALL 24 HRS/DAY, 0 HOURS DURING MARKET HOURS. FORD COUNTY SERIFF'S OFFICE, 235 N AMERICAN ST PAXTON IL 60957, DEPUTY CORONER, STARTED 09/2021, NON-INVESTMENT RELATED, 24 TO 48 HOURS/MONTH OUTSIDE MARKET HOURS, 0 HOURS/MONTH DURING MARKET HOURS. PAXTON-BUCKLEY-LODA JUNIOR HIGH SCHOOL, 700 W ORLEANS ST PAXTON IL 60957, STARTED 10/2021, NON-INVESTMENT RELATED, HEAD BASKETBALL COACH - 7TH GRADE, ASST BASKETBALL COACH - 8TH GRADE, O HOURS/MONTH DURING MARKET HOURS, 4 MONTHS/YEAR OUTSIDE OF MARKET HOURS. KNAPP FUNERAL HOME, 219 S 4TH ST WATSEKA IL 60970, STARTED 08/2019, NON-INVESTMENT RELATED, FUNERAL DIRECTOR, O HOURS/MONTH DURING MARKET HOURS, 48 TO 72 HOURS/MONTH OUTSIDE OF MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Kendall Michael Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kendall Michael Cox'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
November 29, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 106 N Market Street, Paxton, IL 60957Office #2: 102 S 2nd Street, Cissna Park, IL 60924RIA
BD
CRD#: 101080
Paxton, IL
Current
May 7, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 106 N Market Street, Paxton, IL 60957Office #2: 102 S 2nd Street, Cissna Park, IL 60924RIA
BD
CRD#: 101080
Paxton, 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
Illinois(11/29/2024)
IAR
Illinois(11/29/2024)
RR
Indiana(2/3/2025)
IAR
Texas(2/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/7/2024
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)
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#: 101080Paxton, IL 60957TRUST BUT VERIFY
Monitor Kendall Cox
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
