Dana Tupper
Dana Tupper is a registered investment advisor at Midwestern Securities Trading Co.,llc, based in Luxemburg, WI, with 15 years of industry experience. Dana is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 4 more. Their firm serves 11,847 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.30% |
| $1.0M - $5.0M | 1.05% |
| $5.0M - $10.0M | 0.85% |
| $10M+ | 0.55% |
Fees are negotiable and may be higher or lower, not to exceed 2.0% annually. Beacon Portfolios carry an additional $40 annual maintenance fee.
Fee Estimator
Location
630 Main St, Luxemburg, WI, 54217
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Dana is an associate/employee at Bank of Luxemburg, opening and servicing accounts and offering investment advice, dedicating about half of her time. She is also a member/clerk on the Kewaunee Public School District Board of Directors, spending a few hours per week implementing policies and signing reports.
Employment History
Current Registrations
Midwestern Securities Trading Co.,llc
Midwestern Securities Trading Company, LLCBroker
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
LPL Financial LLCBroker
Uvest Financial Services Group, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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