Michael J. Graham

MIDWESTERN SECURITIES TRADING COMPANY

St Louis, MO 63123

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CRD#: 2726573

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.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Investment Planning

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

None

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.) JOHN GRAHAM AND ASSOCIATES, 235 EVERETT ST EAST PEORIA, IL 61611, FINANCIAL CONSULTANT, STARTED 04/1996, INVESTMENT RELATED, 40 HOURS/WEEK BOTH DURING AND OUTSIDE MARKET HOURS. 2.) MICHAEL GRAHAM PROPERTIES, SERIES A & B, 235 EVERETT ST EAST PEORIA, IL 61611 AND 300 E WASHINGTON ST EAST PEORIA, IL 61611, PROPERTY MANAGEMENT/REAL ESTATE, START DATE 02/2016, NO DUAL CONTROL IN PLACE, NON-INVESTMENT RELATED, 8 HOURS PER MONTH DURING AND OUTSIDE OF MARKET HOURS. 3.) PRINCEVILLE STATE BANK/MAIN STREET BANCORP INC, 142 E MAIN ST, PRINCEVILLE IL 61559, BOARD MEMBER/PRESIDENT OF HOLDING CO. BOARD, START DATE-BOARD 08/2018,START DATE AS PRESIDENT 04/2021, INVESTMENT RELATED, 1 HOUR PER QUARTER DURING MARKET HOURS, 1 HOURS PER QUARTER OUTSIDE OF MARKET HOURS. 4.) GRAHAM FAMILY FARM, 349 GREBNER ROAD METAMORA, IL 61548, FARM IN CRP-JOINT OWNER WITH SPOUSE, NON-INVESTMENT RELATED, START DATE 04/2018, 5 HOURS OUTSIDE OF MARKET HOURS, 0 HOURS DURING MARKET HOURS. 5.) PEORIA RIVERFRONT MUSEUM FOUNDATION BOARD, 222 SW WASHINGTON ST. PEORIA, IL 61602, BOARD MEMBER, NON-INVESTMENT RELATED, START DATE 04/2018, 1 HOUR OUTSIDE OF MARKET HOURS, 0 HOURS DURING MARKET HOURS. 6.) MGP FC LLC, 300 E WASHINGTON ST EAST PEORIA, IL 61611, PROPERTY MANAGEMENT/REAL ESTATE, OWNER, START DATE 03/2025, NON-INVESTMENT RELATED, LESS THAN 1 HOUR PER MONTH DURING AND OUTSIDE OF MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Graham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael John Graham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

September 27, 1999 - Present

MIDWESTERN SECURITIES TRADING COMPANY, LLC

Office #1: 6300 South Lindbergh Blvd, St Louis, MO 63123Office #2: 200 East Broadway, Monmouth, IL 61462Office #3: 4702 Mattis Road, St Louis, MO 63128Office #4: 102 West Main Street, Toulon, IL 61483Office #5: 104 E Main St, Elmwood, IL 61529Office #6: 3319 E Lincolnway, Sterling, IL 61081Office #7: 800 West Mount Vernon Street, Metamora, IL 61548Office #8: 101 East Fast Street Avenue, Mackinaw, IL 61755Office #9: 1100 West Howard Street, Pontiac, IL 61764Office #10: 220 East Main Street, Fairfield, IL 62837Office #11: 201 W Washington St, Pittsfield, IL 62363Office #12: 220 Pittsfield Rd, Mt Sterling, IL 62353Office #13: 108 West Quincy, Griggsville, IL 62340Office #14: 14422 Manchester Rd, Manchester, MO 63011Office #15: 100 N Main St, Wayne City, IL 62895Office #16: 113 S Court St, Grayville, IL 62844Office #17: 35 N. Ayer St, Harvard, IL 60033Office #18: 510 W Washington St, Oregon, IL 61061Office #19: 134 S Sampson St, Tremont, IL 61568Office #20: 3950 W Fountain Lane, Decatur, IL 62522Office #21: 111 W Washington St, Princeton, KY 42445Office #22: 28 Commerce Street, Eddyville, KY 42038Office #23: 1805 S. Main St., Eureka, IL 61530Office #24: 235 Everett St, East Peoria, IL 61611Office #25: 5113 North Executive Drive Suite 102, Peoria, IL 61614Office #26: 4924 W. American Prairie Dr., Peoria, IL 61615Office #27: 301 S Columbia Ave, Oglesby, IL 61348Office #28: 692 N 4th St, Breese, IL 62230Office #29: 2470 Eastrock Dr, Rockford, IL 61108Office #30: 333 W Main Street, Havana, IL 62644Office #32: 145 E Main St, Dalton City, IL 61925Office #33: 101 W Main Street, Bethany, IL 61914Office #34: 200 E Lewis St, Niantic, IL 62551Office #35: 101 E Main St, Maroa, IL 61756Office #36: 1120 State Highway 121, Mt. Zion, IL 62549Office #37: 310 W Jackson, Sullivan, IL 61951Office #38: 142 E. Main St., Princeville, IL 61559Office #39: 1149 E. 1500 N. Road, Taylorville, IL 62568Office #40: 1690 Lemay Ferry Road, St. Louis, MO 63125

RIA

CRD#: 101080

St Louis, MO

Current

March 10, 2000 - Present

MIDWESTERN SECURITIES TRADING COMPANY, LLC

Office #1: 6300 South Lindbergh Blvd, St Louis, MO 63123Office #2: 200 East Broadway, Monmouth, IL 61462Office #3: 4702 Mattis Road, St Louis, MO 63128Office #4: 102 West Main Street, Toulon, IL 61483Office #5: 104 E Main St, Elmwood, IL 61529Office #6: 3319 E Lincolnway, Sterling, IL 61081Office #7: 800 West Mount Vernon Street, Metamora, IL 61548Office #8: 101 East Fast Street Avenue, Mackinaw, IL 61755Office #9: 1100 West Howard Street, Pontiac, IL 61764Office #10: 220 East Main Street, Fairfield, IL 62837Office #11: 201 W Washington St, Pittsfield, IL 62363Office #12: 220 Pittsfield Rd, Mt Sterling, IL 62353Office #13: 108 West Quincy, Griggsville, IL 62340Office #14: 14422 Manchester Rd, Manchester, MO 63011Office #15: 100 N Main St, Wayne City, IL 62895Office #16: 113 S Court St, Grayville, IL 62844Office #17: 35 N. Ayer St, Harvard, IL 60033Office #18: 510 W Washington St, Oregon, IL 61061Office #19: 134 S Sampson St, Tremont, IL 61568Office #20: 3950 W Fountain Lane, Decatur, IL 62522Office #21: 111 W Washington St, Princeton, KY 42445Office #22: 28 Commerce Street, Eddyville, KY 42038Office #23: 1805 S. Main St., Eureka, IL 61530Office #24: 235 Everett St, East Peoria, IL 61611Office #25: 4924 W. American Prairie Dr., Peoria, IL 61615Office #26: 301 S Columbia Ave, Oglesby, IL 61348Office #27: 692 N 4th St, Breese, IL 62230Office #28: 2470 Eastrock Dr, Rockford, IL 61108Office #29: 333 W Main Street, Havana, IL 62644Office #31: 145 E Main St, Dalton City, IL 61925Office #32: 101 W Main Street, Bethany, IL 61914Office #33: 200 E Lewis St, Niantic, IL 62551Office #34: 101 E Main St, Maroa, IL 61756Office #35: 1120 State Highway 121, Mt. Zion, IL 62549Office #36: 310 W Jackson, Sullivan, IL 61951Office #37: 142 E. Main St., Princeville, IL 61559Office #38: 1149 E. 1500 N. Road, Taylorville, IL 62568Office #39: 1690 Lemay Ferry Road, St. Louis, MO 63125

RIA

CRD#: 101080

St Louis, MO

Past

May 2, 1996 - April 27, 2000

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Alabama
(7/12/2017)

Alabama
(5/1/2025)

Arizona
(10/8/2009)

Arkansas
(8/4/2015)

California
(2/10/2010)

Colorado
(1/2/2013)

Delaware
(2/22/2023)

Florida
(3/31/2014)

Georgia
(10/14/2014)

IAR

Illinois
(9/27/1999)

Illinois
(4/26/2000)

Indiana
(8/15/2011)

Iowa
(5/24/2000)

Kansas
(8/9/2017)

Kentucky
(3/16/2015)

Louisiana
(9/19/2016)

Maryland
(5/12/2016)

Michigan
(9/10/2011)

Minnesota
(9/10/2011)

Mississippi
(6/9/2023)

Missouri
(9/12/2006)

Montana
(1/28/2015)

Nebraska
(1/9/2023)

Nevada
(5/19/2016)

New Mexico
(9/3/2021)

New York
(9/10/2011)

North Carolina
(2/28/2011)

Ohio
(4/7/2015)

Oklahoma
(11/23/2022)

Oregon
(1/26/2024)

Pennsylvania
(3/22/2013)

South Carolina
(5/15/2014)

South Dakota
(1/2/2020)

Tennessee
(9/1/2015)

Texas
(3/24/2010)

IAR

Texas
(3/27/2018)

Utah
(12/12/2014)

Washington
(3/2/2016)

Wisconsin
(10/26/2010)

Wyoming
(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

State Security Law Exam

IAR

Series 65

Date: 12/3/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative 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: 3/18/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/13/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/1997

General Securities Principal Examination

SRO Registrations

FINRA

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 (38 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.

Contact information

xxxxx@xxxx.xxx

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Michael J. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

MIDWESTERN SECURITIES TRADING COMPANY, LLC

BIRCHTREE FINANCIAL SERVICES LLC

Primary Firm SEC Registration

MIDWESTERN SECURITIES TRADING COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/1996

Series 63

Date: 3/21/1996

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1996

Series 53

Date: 1/13/2003

Series 24

Date: 10/20/1997

FINRA

Current Firm

MIDWESTERN SECURITIES TRADING COMPANY, LLC

Contact information

SEC notice filing (38 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

Contact information

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