Joshua A. Miller
MIDWESTERN SECURITIES TRADING COMPANY
EAST PEORIA, IL 61611
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CRD#: 4442923
Professional summary
Joshua Andrew Miller, CFP®, who also goes by Joshua Andrew Miller, is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in East Peoria, Illinois.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joshua has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua Andrew Miller
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. ASTORIA LIONS CLUB/PO BOX 525 ASTORIA, IL/ACTIVITY ONSET 07/2014/MEMBER AND PRESIDENT-JUNE 2020/4 HOURS PER MONTH OUTSIDE OF MARKET/NOT SECURITIES RELATED/VOLUNTEER ACTIVITY 2. GRAHAM HEALTH SYSTEMS BOARD OF TRUSTEES/CANTON, IL/CO-CHAIR FINANCE COMMITTEE/STARTED 01/2018/NON-INVESTMENT RELATED/4-6 HOURS MONTHLY OUTSIDE OF MARKET HOURS ONLY/0 HOURS DURING MARKET HOURS/START DATE 01/2018/VOLUNTEER ACTIVITY 3. MSTC Investment Committee, 300 E. Washington St. Ste. 3 East Peoria, IL 61611, Investment Committee Member, Started 04/2019, Investment Related, 8-10 hours/month both during and outside market hours. 4. South Fulton Rebels Football, 1502 E US Highway 136 Table Grove, IL 61482, Head Football Coach, Started 02/2020, Non-Investment Related, 0 Hours/Month during Market Hours, 60 Hours/Month During Season Outside of Market Hours. 5. South Fulton Water District, 8283 E Morningstar Hwy Astoria, IL 61501, Board Member, Started 01/2022, Non-Investment Related, 0 Hours/Month during Market Hours, 1-2 Hours/Month Outside of Market Hours. 6. Grace Bible Church 701 E Broadway St Astoria, IL 61501, Financial Secretary, Started 01/2020, Non-Investment Related, 0 Hours/Month during Market Hours, 2 Hours/Month Outside of Market Hours. 7. Self Employed Farming, 3940 N Miller Rd, Astoria, IL 61501, Owner/Producer, Started 04/2020, Non-Investment Related, 0 Hours/Month during Market Hours, 10 Hours/Month Outside of Market Hours. 8. John Graham and Associates, 235 Everett St, East Peoria, IL 61611, Financial Consultant, Started 10/2024, Investment Related. 70 hours/month during market hours, 15 hoursmonth outside of market hours. 9. MGP FC LLC, 300 E Washington St, East Peoria, IL 61611, Owner, Started 03/2025, Non-Investment Related, 0 Hours/Month during Market Hours, 4 Hours/Month Outside of Market Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Andrew Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Andrew Miller's 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®
Start date: 2011
Experience
Current
June 27, 2006 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611RIA
BD
CRD#: 101080
EAST PEORIA, IL
Current
May 17, 2006 - Present
MIDWESTERN SECURITIES TRADING COMPANY, LLC
Office #1: 235 Everett St, East Peoria, IL 61611RIA
BD
CRD#: 101080
EAST PEORIA, IL
Past
October 4, 2001 - April 28, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MACOMB, IL
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".
MS
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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Colorado(1/3/2007)
RR
Illinois(5/17/2006)
IAR
Illinois(6/27/2006)
RR
Michigan(2/23/2011)
RR
Missouri(3/18/2025)
RR
Ohio(11/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
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)BD
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)
Direct owners and executive officers
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.
