Todd W. Schaul
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.
Todd William Schaul was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1992. Todd had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2008 - August 26, 2021
MORNINGSTAR INVESTMENT SERVICES LLC
January 10, 2007 - August 26, 2021
MORNINGSTAR INVESTMENT SERVICES LLC
August 3, 2006 - September 14, 2006
DUNHAM
August 3, 2006 - September 14, 2006
DUNHAM
March 18, 2003 - September 20, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 31, 2000 - September 20, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 5, 2000 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
July 31, 1998 - November 21, 2000
ENTERPRISE FUND DISTRIBUTORS, INC.
April 7, 1995 - July 8, 1998
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 31, 1993 - July 22, 1994
CITIGROUP GLOBAL MARKETS INC.
March 18, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
MORNINGSTAR INVESTMENT SERVICES LLC
CRD#: 112525 / SEC#: 801-60401, 8-53593
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
MORNINGSTAR INVESTMENT SERVICES LLC
CRD#: 112525 / SEC#: 801-60401, 8-53593
Contact information
SEC notice filing (53 States and Territories)
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/14/2025 | ||
| 08/20/2024 | ||
| 09/28/2023 | ||
| 10/28/2022 |
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.
