Michael Andrew Doublin
Professional Summary
Michael Andrew Doublin is a registered financial advisor currently at MIDWESTERN SECURITIES TRADING COMPANY, LLC located in East Peoria, Illinois. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 1 firm and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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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
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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.
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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
(10/7/2020)
(10/7/2020)
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.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Andrew Doublin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Doublin's CRS (Customer Relationship Summary).
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