Michael John Graham
CFP®Professional Summary
Michael John Graham, CFP® is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in St Louis, Missouri. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Employee and Employer Plan Benefits
- Investment Planning
- Insurance Planning
- Comprehensive Financial Planning
- Retirement Planning
Other Aliases
There are no additional aliases reported.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC
Contact Information
Main Address
235 Everett St, East Peoria, IL 61611Mailing Address
235 Everett St P.o. Box 2528, East Peoria, IL 61611Phone Number
(309) 699-6786Established
Illinois since 12/10/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
105SEC notice filing (44 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
FINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
11,847AUM (Assets Under Management)
$1,984,884,160Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Primary Firm SEC Registration
LIGHTHOUSE FINANCIAL INSTITUTION MARKETING SOLUTIONS | MIDWESTERN SECURITIES TRADING COMPANY, LLC | MIDWESTERN SECURITIES TRADING COMPANY | MIDWESTERN SECURITIES TRADING CO.,LLC
State Registrations and Notice Filings
(7/12/2017)
(5/1/2025)
(10/8/2009)
(8/4/2015)
(2/10/2010)
(1/2/2013)
(2/22/2023)
(3/31/2014)
(10/14/2014)
(9/27/1999)
(4/26/2000)
(8/15/2011)
(5/24/2000)
(8/9/2017)
(3/16/2015)
(9/19/2016)
(5/12/2016)
(9/10/2011)
(9/10/2011)
(6/9/2023)
(9/12/2006)
(1/28/2015)
(1/9/2023)
(5/19/2016)
(9/3/2021)
(9/10/2011)
(2/28/2011)
(4/7/2015)
(11/23/2022)
(1/26/2024)
(3/22/2013)
(5/15/2014)
(1/2/2020)
(9/1/2015)
(3/24/2010)
(3/27/2018)
(12/12/2014)
(8/11/2026)
(3/2/2016)
(10/26/2010)
(9/7/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Graham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Graham's CRS (Customer Relationship Summary).
Services Offered by Michael
- Employee and Employer Plan Benefits
- Investment Planning
- Insurance Planning
- Comprehensive Financial Planning
- Retirement Planning
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
