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FIRST MIDWEST SECURITIES, INC., CRD 21786
BLOOMINGTON, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••• J•••• | CHAIRMAN/CEO 01252013 | C | yes | 11/1989 | Nov 22, 2011 | Mar 26, 2015 |
| L••••• J•••• | CHAIRMAN/CEO0252013/MUNI PRINCIPAL 11/2014 | Na | yes | 11/1989 | Nov 22, 2011 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEWPORT BEACH | CA | United States | n/a | no |
| Denver | Co | United States | n/a | no |
| Astatula | FL | United States | n/a | no |
| Bloomington | IL | United States | n/a | no |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2014 | $169M | $145M | 16.6% | $122M | 11.6% | 9 | 9 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N•• A••••••• S••••••• I•• | 2 | Jul 31, 2015 | Jul 3, 2015 | NEWPORT BEACH, CA | Team lift out | Other | 40.0% |
| T•• I••••••••• C••• I••• | HOLDING CORP. | E | yes | 11/1989 | Nov 22, 2011 | Mar 26, 2015 |
| B••••••• T•••• L••• | Shareholder | C | no | 01/2011 | Nov 22, 2011 | Mar 26, 2015 |
| C•••••••• W•••••• H••••• | Shareholder | F | no | 01/2012 | Nov 22, 2011 | Mar 26, 2015 |
| C••••••• G••••• S•••• | RIA CCO/AML CO | Na | no | 01/2015 | Jan 9, 2015 | Mar 26, 2015 |
| H•••••• J•••• E••• | CHIEF LEGAL OFFICER | F | no | 09/2014 | Nov 22, 2011 | Mar 26, 2015 |
| N•••••••• D•••• J••• | BOARD MEMBER/TREASURER | F | no | 11/1989 | Nov 22, 2011 | Mar 26, 2015 |
| N•••• J••••• B•••• | Shareholder | F | no | 01/2011 | Nov 22, 2011 | Mar 26, 2015 |
| S•••••• K•••• | OPERATIONS PRINCIPAL/VP/COO/ROSFP-OPTIONS MANAGER/CCO | Na | no | 03/2014 | Nov 22, 2011 | Mar 26, 2015 |
| S•••••• K•••• | SHAREHOLDER/BOARD MEMBER-DIRECTOR 011613/ROSFP-OPTIONS MANAGER 20140321 | F | no | 01/2011 | Nov 22, 2011 | Mar 26, 2015 |
| T••••••••• E•••••••• M•••• | Finop | Na | no | 09/2012 | Sep 25, 2012 | Mar 26, 2015 |
| n/a |
| n/a |
| no |
| $169M |
| $108M |
| 9 |
| 6 |
| n/a |
| n/a |
| n/a |
| 2013 | Feb 28, 2014 | $145M | $89.7M | 9 | 6 | n/a | n/a | n/a |
| 2012 | Feb 22, 2013 | $161M | $109M | 12 | 7 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $122M | $90.5M | n/a | n/a | n/a | n/a | n/a |