Paul M. Tait
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.
Paul Michael Tait, who also goes by Paul Tait, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2016. Paul had worked at 3 firms and has passed the Series 66, SIE 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
September 6, 2023 - June 16, 2025
MORNINGSTAR INVESTMENT SERVICES LLC
June 4, 2018 - March 2, 2023
DWS DISTRIBUTORS, INC.
August 10, 2016 - May 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2016 - May 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current 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.
