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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

MARC JONATHAN THEIEN

Advisor at MIDWESTERN SECURITIES TRADING CO.,LLC

Rockford, IL | OREGON, IL | EAST PEORIA, IL | HARVARD, IL

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Search this name across graphsid dfx:ria:08f61743-3bcc-3674-2deb-c8bc5d64b245

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MIDWESTERN SECURITIES TRADING CO.,LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 16, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 16, 1996
First registration: Mar 2, 2009
Dual registered: yes, broker-dealer
Other names: MARC JONATHAN THEIEN
IAPD individual key: 2823651

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MIDWESTERN SECURITIES TRADING CO.,LLC	Independent wealth	Aug 1, 2018	n/a	yes	Rockford, IL\|EAST PEORIA, IL\|EAST PEORIA, IL\|HARVARD, IL\|OREGON, IL	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 11, 2016	Aug 1, 2018	no	ROCKFORD, IL\|ROCKFORD, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 11, 2015	Aug 10, 2016	no	ROCKFORD, IL	Previous registration
ASSOCIATED INVESTMENT SERVICES, INC.	Independent wealth	Jul 11, 2013	Jun 15, 2015	no	DEKALB, IL\|ROCKFORD, IL\|ROCKFORD, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 21, 2010	May 17, 2013	no	ROCKFORD, IL	Previous registration
AMCORE INVESTMENT SERVICES, INC	n/a	Mar 2, 2009	Jul 1, 2010	no	ROCKFORD, IL\|ROCKFORD, IL\|ROCKFORD, IL\|ROCKFORD, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	MIDWESTERN SECURITIES TRADING CO.,LLC	Aug 1, 2018	Aug 1, 2018	0	Firm change	Ibd to RIA
MSI FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2016	Aug 11, 2016	1	Firm change	Other
ASSOCIATED INVESTMENT SERVICES, INC.	MSI FINANCIAL SERVICES, INC.	Jun 15, 2015	Aug 11, 2015	57	Firm change	Other
LPL FINANCIAL LLC	ASSOCIATED INVESTMENT SERVICES, INC.	May 17, 2013	Jul 11, 2013	55	Firm change	Other
AMCORE INVESTMENT SERVICES, INC	LPL FINANCIAL LLC	Jul 1, 2010	Jun 21, 2010	-10	Firm change	Other

Relationships

Registered with (6)

→ MIDWESTERN SECURITIES TRADING CO.,LLCRegistered adviserregistration: current employment
Aug 1, 2018 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Aug 11, 2016 to Aug 1, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 11, 2015 to Aug 10, 2016factForm ADV
→ ASSOCIATED INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jul 11, 2013 to Jun 15, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 21, 2010 to May 17, 2013factForm ADV
→ AMCORE INVESTMENT SERVICES, INCRegistered adviserregistration: previous registration
Mar 2, 2009 to Jul 1, 2010factForm ADV

Dated events

No dated event names this entity yet.