Richard J. Dimaggio

TSA MANAGEMENT

Clifton Park, NY 12065

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CRD#: 2123589

Professional summary

Richard John Dimaggio is a registered financial advisor currently at TSA MANAGEMENT INC located in Clifton Park, New York and HALLIDAY FINANCIAL, LLC located in Clifton Park, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

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.

Starting January 2018, Ski instructor at Plattekill Mountain, located at 469 Plattekill Mountain Rd, Roxbury, NY 12474. Not investment related. Devotes approximately 4 hours per week on this activity, with approximately 2 hours occurring during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Dimaggio'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

January 17, 2020 - Present

TSA MANAGEMENT INC

Office #1: 4 Executive Park Suite 101, Clifton Park, NY 12065

RIA

CRD#: 106440

Clifton Park, NY

Current

December 12, 1995 - Present

HALLIDAY FINANCIAL, LLC

Office #1: 4 Executive Park Drive, Clifton Park, NY 12065

CRD#: 31741

Clifton Park, NY

Past

January 23, 2017 - December 31, 2019

TSA MANAGEMENT INC

RIA

CRD#: 106440

Clifton Park, NY

Past

June 12, 2007 - December 31, 2016

TSA MANAGEMENT INC

RIA

CRD#: 106440

GLEN HEAD, NY

Past

February 28, 1991 - June 16, 1995

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 28, 1991 - June 16, 1995

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

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.

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

Arizona
(9/19/2019)

California
(3/28/2007)

Colorado
(3/28/2007)

Florida
(12/8/2000)

Georgia
(12/18/2007)

Illinois
(12/8/2018)

Maine
(1/6/2016)

Massachusetts
(3/28/2007)

New Hampshire
(3/17/2020)

New Jersey
(3/28/2007)

IAR

New Jersey
(1/17/2020)

New York
(6/6/1995)

IAR

New York
(4/6/2021)

North Carolina
(6/24/2014)

Virginia
(3/17/2020)

Washington
(6/24/2014)

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

State Security Law Exam

IAR

Series 65

Date: 9/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/26/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSA PORTFOLIO MANAGEMENT INC -ADV - 3-31-25 (3/21/2025)

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	Cover Page	Report
09/28/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Richard J. Dimaggio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Dimaggio's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALLIDAY FINANCIAL, LLC

TSA MANAGEMENT INC

TSA MANAGEMENT INC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

TSA MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/1996

Series 63

Date: 3/1/1991

SIE

Date: 10/1/2018

Series 6

Date: 2/26/1991

FINRA

Current Firm

TSA MANAGEMENT INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TSA MANAGEMENT INC

TRUST BUT VERIFY

Contact information

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