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MT

Miriam Tai

FORESIDE FUND SERVICES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2907224
MT

Professional summary

Miriam Tai, who also goes by Miu Yee Miriam Tai, Miriam Miu Yee Tai, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

Miriam is registered as a RR (Registered Representative) and started their career in finance in 1997. Miriam has worked at 10 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miu Yee Miriam Tai | Miriam Miu Yee Tai

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Miriam Tai'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®
None

Experience

Current

August 21, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 477 Madison Avenue Suite 720, New York, NY 10022
BD
CRD#: 46106
New York, NY
Past

November 10, 2022 - January 24, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

June 25, 2021 - August 17, 2022

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
New York, NY
Past

December 20, 2017 - November 16, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
NEW YORK, NY
Past

August 23, 2012 - February 27, 2015

ITAU BBA USA SECURITIES, INC.

BD
CRD#: 118817
NEW YORK, NY
Past

February 3, 2011 - August 16, 2012

MAN INVESTMENTS INC.

BD
CRD#: 15770
NEW YORK, NY
Past

October 18, 2005 - January 12, 2011

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
SAN FRANCISCO, CA
Past

February 11, 2004 - August 31, 2005

STONE & YOUNGBERG LLC

BD
CRD#: 795
SAN FRANCISCO, CA
Past

August 11, 1997 - January 20, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 11, 1997 - January 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(8/23/2024)
RR
Alaska
(8/26/2024)
RR
Arizona
(8/28/2024)
RR
Arkansas
(8/26/2024)
RR
California
(8/21/2024)
RR
Colorado
(8/26/2024)
RR
Connecticut
(8/22/2024)
RR
Delaware
(8/28/2024)
RR
District of Columbia
(8/29/2024)
RR
Florida
(8/22/2024)
RR
Georgia
(8/22/2024)
RR
Hawaii
(8/22/2024)
RR
Idaho
(8/22/2024)
RR
Illinois
(8/27/2024)
RR
Indiana
(8/23/2024)
RR
Iowa
(8/23/2024)
RR
Kansas
(8/22/2024)
RR
Kentucky
(8/23/2024)
RR
Louisiana
(8/28/2024)
RR
Maine
(8/22/2024)
RR
Maryland
(8/29/2024)
RR
Massachusetts
(8/21/2024)
RR
Michigan
(8/23/2024)
RR
Minnesota
(8/26/2024)
RR
Mississippi
(8/26/2024)
RR
Missouri
(8/22/2024)
RR
Montana
(8/22/2024)
RR
Nebraska
(8/21/2024)
RR
Nevada
(8/22/2024)
RR
New Hampshire
(8/23/2024)
RR
New Jersey
(8/23/2024)
RR
New Mexico
(8/23/2024)
RR
New York
(8/22/2024)
RR
North Carolina
(8/27/2024)
RR
North Dakota
(8/26/2024)
RR
Ohio
(8/21/2024)
RR
Oklahoma
(8/26/2024)
RR
Oregon
(8/22/2024)
RR
Pennsylvania
(8/22/2024)
RR
Rhode Island
(8/23/2024)
RR
South Carolina
(8/28/2024)
RR
South Dakota
(8/27/2024)
RR
Tennessee
(8/23/2024)
RR
Texas
(8/21/2024)
RR
Utah
(8/22/2024)
RR
Vermont
(8/22/2024)
RR
Virginia
(8/22/2024)
RR
Washington
(8/22/2024)
RR
West Virginia
(8/28/2024)
RR
Wisconsin
(8/22/2024)
RR
Wyoming
(8/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/20/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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.

Company Information

FORESIDE FUND SERVICES, LLC

CRD#: 46106New York, NY 10022

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