# FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC. of BLOOMINGTON, IL is an SEC-registered investment adviser.

## Registration

- CRD: 21786
- Type: SEC-registered investment adviser
- SEC file number: 801-67749
- Location: 207 W. JEFFERSON STREET, SUITE 102, BLOOMINGTON, IL, 61701-3969
- Phone: 309.820.7444
- Latest filing: 2015-03-26
- Regulatory AUM: $169.4M
- Discretionary AUM: $108.4M
- Non-discretionary AUM: $61.0M
- Clients: 9
- Accounts: 498

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| GRAY BARBARA ANNE | MUNICIPAL PRINCIPAL; MUNICIPAL PRINCIPAL/CHIEF COMPLIANCE OFFICER; MUNICIPAL PRINCIPAL/DEPUTY CCO (+1 more) | — |
| COX PATRICIA ELAINE | CHIEF COMPLIANCE OFFICER | — |
| LINNA JAMES | CHAIRMAN; CHAIRMAN/CEO; CHAIRMAN/CEO 01252013 (+3 more) | — |
| NEVINSKI DAVID JOHN | BOARD MEMBER; BOARD MEMBER/TREASURER; CFO (+1 more) | — |
| PRATT JENNIFER ANNE | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| CANTRELL WILLIAM HOWARD | SECRETARY; SHAREHOLDER | — |
| BUFFALO TERRY LYNN | CHIEF EXECUTIVE OFFICER; PRESIDENT; PRESIDENT/CEO (+1 more) | — |
| BIRCH JENNIFER MARIE | EVP OPERATIONS/SROP/CROP | — |
| NOEL JOSHUA BRIAN | AML CO/RIA CCO; AML CO/RIA CCO/MUNICIPAL PRINCIPAL; AML CO/RIA CO (+6 more) | — |
| SUTTON KELLY | OPERATIONS PRINCIPAL/ROP; OPERATIONS PRINCIPAL/ROP/VP; OPERATIONS PRINCIPAL/ROP/VP/COO (+8 more) | — |
| TRACTENBERG ELIZABETH MARIE | FINOP | — |
| KASHAN MARION A | RIA CCO/SR.VP/DIRECTOR OF COMPLIANCE; RIA CCO/SR.VP/DIRECTOR OF COMPLIANCE/BOARD OF DIRECTORS; RIA CCO/SR.VP/DIRECTOR OF COMPLIANCE/CCO (+3 more) | — |
| PELO MARY ANN | FINOP | — |
| HAGLER JAMES ERIC | CHIEF LEGAL OFFICER; PRESIDENT; PRESIDENT/SECRETARY | — |
| EMRICK RENEE ELAINE | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL; GENERAL COUNSEL/EVP | — |
| SPARKS KIMBERLY B | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/VP | — |
| GRINSTEAD AMY MARIE | AML COMPLIANCE OFFICER | — |
| JOHNSON KRISTY KAY | FINOP | — |
| TUOHEY JAMES MICHAEL SR | AML CO; AML CO/CFO/FINOP/SVP/COO; TREASURER/SECRETARY | — |
| LITTLEFIELD WOODROW WILSON III | MUNICIPAL PRINCIPAL | — |
| SHANAHAN MICHAEL SHANE | AML CO | — |
| HOUGAS ROBERT DAVID | ROSFP | — |
| RIVES JASON ASBURY | RIA DEPUTY CHIEF COMPLIANCE OFFICER; RIA DEPUTY CHIEF COMPLIANCE OFFICER/MARGIN MANAGER; RIA DEPUTY CHIEF COMPLIANCE OFFICER/MARGIN MANAGER/ AML CO 10/23/2014 (+1 more) | — |
| BOLMGREN JUSTIN KARL | VP | — |
| CROSSON GORDON SCOTT | RIA CCO/AML CO | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/21786/brochure
- Similar advisers: https://search.stillhousedata.com/firm/21786/similar
- Related entities: https://search.stillhousedata.com/firm/21786/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/21786

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.