Matthew J. Miner

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CRD#: 2113435

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Matthew Jason Miner, who also goes by Mage Miner, Matt Miner, Mattie Miner, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mage Miner | Matt Miner | Mattie Miner

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. Heartland Advisors. Investment related. 790 Water St, Ste 1200, Milwaukee, WI 53202, Investment Advisor, Director of Equity Trading, start 10/1996, 176 hrs/mo, 132 hrs/mo, Investment management. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 7, 2013 - April 5, 2023

HEARTLAND ADVISORS, INC.

RIA

CRD#: 29433

MILWAUKEE, WI

Past

August 1, 2007 - April 4, 2023

ALPS DISTRIBUTORS, INC.

CRD#: 16853

MILWAUKEE, WI

Past

December 21, 2001 - July 31, 2007

HEARTLAND INVESTOR SERVICES, LLC

CRD#: 29693

MILWAUKEE, WI

Past

November 4, 1996 - December 21, 2001

HEARTLAND ADVISORS, INC.

CRD#: 29433

MILWAUKEE, WI

Past

June 14, 1993 - May 15, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 10, 1991 - June 16, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 17, 1990 - March 27, 1991

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

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".

HEARTLAND ADVISORS, INC.

CRD#: 29433 / SEC#: 801-19074, 8-44310

RIA

Registered Investment Advisory firm - SEC (6/23/1983 Approved)

Terminated by SEC on 12/09/2003

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/2008

General Securities Principal Examination

Current Firm

HEARTLAND ADVISORS, INC.

CRD#: 29433 / SEC#: 801-19074, 8-44310

RIA

Registered Investment Advisory firm - SEC (6/23/1983 Approved)

Terminated by SEC on 12/09/2003

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Contact information

Main Address

790 N Water Street Suite 1200, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 347-7777

Established

Wisconsin since 03/03/1953

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEARTLAND ADVISORS, INC. BROCHURE (ADV PART 2A) (8/14/2025)

Direct owners and executive officers

Name	Position	CRD#
HEARTLAND HOLDINGS, INC.	SHAREHOLDER
BEST, NICOLE JEANNINE	SENIOR VICE PRESIDENT & TREASURER	3053329
BESTE, PAUL TIMOTHY	CHIEF OPERATING OFFICER	2262587
MILLER, ERIC JAMES	SENIOR VICE PRESIDENT & DIRECTOR	2437730
NASGOVITZ, WILLIAM JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	344990

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 1,885,901,565

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Matthew J. Miner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

HEARTLAND INVESTOR SERVICES, LLC

HEARTLAND ADVISORS, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

FIRST CHOICE SECURITIES CORP.

Primary Firm SEC Registration

HEARTLAND ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/3/1991

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/12/1990

Series 24

Date: 9/2/2008

Current Firm

HEARTLAND ADVISORS, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HEARTLAND ADVISORS, INC.

TRUST BUT VERIFY

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