GL
Gary W. Lofgren
TSA MANAGEMENT
Glen Head, NY 11545
Some features on this profile are disabled
CRD#: 1006352
GL
Professional summary
Gary Walter Lofgren, CFP® is a registered financial advisor currently at TSA MANAGEMENT INC located in Glen Head, New York and HALLIDAY FINANCIAL, LLC located in Glen Head, New York.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Gary has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Education Planning
Employee and Employer Plan Ben...
Elder Care
Comprehensive Financial Planni...
Investment Planning
Insurance Planning
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
ELH Associates, Inc 145 Longwood Ave, Westbury, NY 11590.RIA business for Halliday and Real Estate sales of spouse. Started in May 2011 and is Investment related 20% of time spent on this OBA and 20% of time during business hours. Gary Lofgren is President 50% ownership. Jeanne Lofgren 50% secretary/Treasurer. Maurice Cotter and Muriel Sheahan Charitable Foundation Trust 145 Longwood Ave, Westbury, NY 11590. Started March 2010 Co-Trustee and it is investment related 100 hours per year spent on this OBA and 30 hours per year during business hours $7000 a year generated from this OBA. He is the Co-Trustee of the Charitable Trust. Lofgren Realty, Inc. 145 Longwood Avenue, Carle place, NY 11590. Vice President although not actively involved. Authorized to write checks. Not investment related, zero hours spent, zero compensation & zero income. It is a S Corp. Kieser Evans Charitable Foundation Trust - 145 Longwood Ave, Westbury, NY 11590 Co-Trustee of Trust, Investment related began Feb. 2024, spending about 100hours/year, 50 hours/per year occur during trading hours. Compensated $12,000 - $15,000/ year based on NY Trustee schedule. Living Trust Tamara Evans - 145 Longwood Ave, Westbury, NY 11590 As successor Trustee to a deceased client's living trust, mandate is to utilize assets of trust to assist the former husband of client. Activity is investment related, assets to be used for care of ex-husband. Spending approximately 50 hours/year. Annual income between $4,000-5,000 based on NY Trustee fee schedule.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Walter Lofgren'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: 1990
Experience
Current
January 17, 2020 - Present
TSA MANAGEMENT INC
Office #1: 725 Glen Cove Ave, Glen Head, NY 11545RIA
CRD#: 106440
Glen Head, NY
Current
June 9, 1993 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 725 Glen Cove Ave., Glen Head, NY 11545Office #2: 725 Glen Cove Avenue, Glen Head, NY 11545BD
CRD#: 31741
Glen Head, NY
Past
June 21, 2017 - December 31, 2019
TSA MANAGEMENT INC
RIA
CRD#: 106440
GLEN HEAD, NY
Past
July 1, 2002 - December 31, 2016
TSA MANAGEMENT INC
RIA
CRD#: 106440
GLEN HEAD, NY
Past
June 18, 1986 - June 3, 1993
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
February 15, 1986 - May 21, 1986
KURZ-LIEBOW & COMPANY, INC.
BD
CRD#: 496
Past
May 22, 1985 - February 24, 1986
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
October 31, 1983 - August 14, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
August 19, 1981 - October 28, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
TM
TSA MANAGEMENT INC
TSA MANAGEMENT INC | TSA PORTFOLIO MANAGEMENT, INC. FKA TSA MANAGEMENT INC.
CRD#: 106440 / SEC#: 801-41423
RIA
Registered Investment Advisory firm - (5/7/1992 Approved)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
Arizona(12/18/2017)
RR
California(2/27/2007)
RR
Connecticut(6/9/1993)
RR
Florida(1/10/1995)
RR
Illinois(9/8/2020)
RR
Maine(12/18/2019)
RR
Massachusetts(3/27/2015)
RR
Michigan(3/28/2007)
RR
Nevada(12/18/2019)
RR
New Jersey(6/22/2017)
IAR
New Jersey(1/17/2020)
RR
New Mexico(1/31/2019)
RR
New York(6/9/1993)
IAR
New York(4/6/2021)
RR
North Carolina(3/30/2015)
RR
Ohio(2/1/2010)
RR
Pennsylvania(3/20/2007)
RR
Virginia(3/27/2015)
RR
Washington(1/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TM
TSA MANAGEMENT INC
TSA MANAGEMENT INC | TSA PORTFOLIO MANAGEMENT, INC. FKA TSA MANAGEMENT INC.
CRD#: 106440 / SEC#: 801-41423
RIA
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Contact information
Main Address
725 Glen Cove Ave, Glen Head, NY 11545
Mailing Address
Phone number
(516) 676-3332
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,064 |
| AUM (Assets Under Management) | $ 1,284,683,018 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2023 | ||
| 09/28/2022 |
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.
