MF
Michael F. Fleming
TSA MANAGEMENT
Glen Head, NY 11545
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CRD#: 2876777
MF
Professional summary
Michael Ferrara Fleming 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.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
FLEMING WEALTH MANAGEMENT & LAW OFFICES OF MICHAEL FLEMING. 150 High Farms Road, Glen Head, NY 11545 OWNER NON INVESTMENT RELATED LAW FIRM STARTED IN 2012 5-10 HOURS PER WEEK AND 5-10 HOURS PER WEEK DURING TRADING HOURS PROVIDES LEGAL ADVICE RELATING TO TRUSTS AND ESTATES.APPROXIMATELY $10000-$30000 INCOME AND IT IS A SUB CHAPTER S CORP WITH ZERO EMPLOYEES. Estate of Eileen Farrell 725 Glen Cove Road, Glen Head, NY 11545. Began July 31, 2023. Handling the settlement of Eileen Farrells estate. Not investment related. distribute estate and pay expenses of estate. 2 hours will be spent during trading hours and I expect to have income of $10,000 with statutory commissions. Trustee on three trust accounts Patricia Lundy Family Trust FBO Aiden Lundy, Patrick Lundy & Connor Lundy 725 Glen Cove Ave, Glen Head NY 11545, Investment related, Trustee Power on Schwab Investment account, Started 7/23/24 5% of time will be spent, 3% during trading hours, Compensated $3,000 per trust
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ferrara Fleming'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®
NoneExperience
Current
January 17, 2020 - Present
TSA MANAGEMENT INC
Office #1: 725 Glen Cove Ave, Glen Head, NY 11545RIA
CRD#: 106440
Glen Head, NY
Current
November 7, 2012 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 725 Glen Cove Avenue, Glen Head, NY 11545BD
CRD#: 31741
Glen Head, NY
Past
May 15, 2017 - December 31, 2019
TSA MANAGEMENT INC
RIA
CRD#: 106440
GLEN HEAD, NY
Past
June 18, 1997 - August 31, 2001
UST FINANCIAL SERVICES CORP.
BD
CRD#: 36881
NEW YORK, NY
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
California(1/2/2014)
RR
Connecticut(1/2/2014)
RR
Florida(1/27/2014)
RR
Louisiana(12/4/2014)
RR
Nevada(12/4/2014)
RR
New Hampshire(6/3/2025)
RR
New Jersey(1/10/2014)
IAR
New Jersey(1/17/2020)
RR
New York(2/15/2013)
IAR
New York(4/6/2021)
RR
North Carolina(1/14/2014)
RR
Oklahoma(4/24/2018)
RR
Rhode Island(10/23/2025)
RR
Virginia(6/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (5/7/1992 Approved)Upgrade to AdvisorCheck Premium
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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.
