Daniel M. Ashton

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CRD#: 2530627

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.

Daniel Monroe Ashton, who also goes by Dan Ashton, Daniel M Ashton, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Ashton | Daniel M Ashton

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.

The advisor shows no other business activity.

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

November 21, 2013 - August 26, 2016

MIDWESTERN SECURITIES TRADING COMPANY, LLC

CRD#: 101080

MONMOUTH, IL

Past

August 13, 2003 - July 28, 2004

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

January 8, 2003 - August 18, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 13, 2002 - November 6, 2002

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

August 31, 1994 - March 13, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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".

MIDWESTERN SECURITIES TRADING COMPANY, LLC

LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC

CRD#: 101080 / SEC#: 801-77948, 8-52074

RIA

Registered Investment Advisory firm - SEC (4/18/2013 Approved)

Illinois

Registered Investment Advisory firm - SEC (4/18/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 8/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MIDWESTERN SECURITIES TRADING COMPANY, LLC

LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC

CRD#: 101080 / SEC#: 801-77948, 8-52074

RIA

Registered Investment Advisory firm - SEC (4/18/2013 Approved)

Illinois

Registered Investment Advisory firm - SEC (4/18/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (5/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

235 Everett St, East Peoria, IL 61611

Mailing Address

235 Everett St P.o. Box 2528, East Peoria, IL 61611

Phone number

(309) 699-6786

Established

Illinois since 12/10/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

104

SEC notice filing (40 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A MIDWESTERN SECURITIES TRADING COMPANY LLC (6/30/2025)

MSTC WRAP FEE PROGRAM BROCHURE (6/30/2025)

PART2B FOR IARS OF MSTC (REQUESTED BY NY) (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
GRAHAM, MICHAEL JOHN	CHIEF EXECUTIVE OFFICER/PRESIDENT	2726573
WHITE, NATHAN WILLIAM	CHIEF FINANCIAL OFFICER/VICE PRESIDENT	4384158
TARABOLETTI, CASSANDRA LEE	CHIEF OPERATIONS OFFICER/2ND VICE PRESIDENT	5090888
WEBER, JEFFREY LEE	CHIEF COMPLIANCE OFFICER	2709671

Regulatory assets under management

Total Number of Accounts	10,329
AUM (Assets Under Management)	$ 1,627,322,417

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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Firm Stability Insights

Daniel M. Ashton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

MIDWESTERN SECURITIES TRADING COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/1994

SIE

Date: 8/26/2016

Series 7

Date: 11/21/2013

Series 6

Date: 8/29/1994

Current Firm

MIDWESTERN SECURITIES TRADING COMPANY, LLC

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (37 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MIDWESTERN SECURITIES TRADING COMPANY, LLC

TRUST BUT VERIFY

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