EB
Emily L. Bruington
MIDWESTERN SECURITIES TRADING COMPANY
EAST PEORIA, IL 61611
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CRD#: 7936383
EB
Professional summary
Emily Lynn Bruington is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in East Peoria, Illinois.
Emily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Emily 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.
1) JOHN GRAHAM AND ASSOCIATES, 300 E WASHINGTON ST STE 4 EAST PEORIA, IL 61611, FINANCIAL CONSULTANT, STARTED 06/2024, INVESTMENT RELATED, 40 HOURS PER WEEK BOTH DURING AND OUTSIDE MARKET HOURS. 2) MIDLAND COMMUNITY BANK, 1149 E 1500 NORTH RD, TAYLORVILLE, IL 62568, FINANCIAL CONSULTANT, STARTED 10/2024, INVESTMENT RELATED, 32 HOURS PER MONTH DURING MARKET HOURS, 12 HOURS PER MONTH OUTSIDE MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Emily Lynn Bruington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emily Lynn Bruington'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
September 18, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611Office #2: 235 Everett St, East Peoria, IL 61611RIA
BD
CRD#: 101080
EAST PEORIA, IL
Current
August 28, 2024 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611Office #2: 235 Everett St, East Peoria, IL 61611RIA
BD
CRD#: 101080
EAST PEORIA, 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
California(10/25/2024)
RR
Georgia(10/25/2024)
RR
Illinois(9/18/2024)
IAR
Illinois(9/18/2024)
RR
Indiana(10/25/2024)
RR
Iowa(3/25/2025)
RR
Kentucky(3/18/2025)
RR
Missouri(10/25/2024)
RR
Montana(3/25/2025)
RR
North Carolina(10/25/2024)
RR
Ohio(10/25/2024)
RR
Pennsylvania(10/25/2024)
RR
South Carolina(10/25/2024)
RR
Tennessee(3/25/2025)
RR
Texas(3/18/2025)
RR
Washington(3/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2024
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)
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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
CRD#: 101080East Peoria, IL 61611TRUST BUT VERIFY
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