Catherine A. Tse
Professional summary
Catherine Anne Tse, who also goes by Tse Catherine, is a registered financial advisor currently at ALLEN INVESTMENT MANAGEMENT, LLC located in New York, New York.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Catherine has worked at 2 firms and has passed the Series 63, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Anne Tse's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2021 - Present
ALLEN INVESTMENT MANAGEMENT, LLC
Office #1: 711 Fifth Avenue 10th Floor, New York, NY, 10022October 20, 1998 - November 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ALLEN INVESTMENT MANAGEMENT, LLC
CRD#: 124454 / SEC#: 801-61985
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/20/2021)
Exams
Series 25
Date: 10/12/1999
NYSE Trading Assistant ExaminationSeries 55
Date: 2/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
ALLEN INVESTMENT MANAGEMENT, LLC
CRD#: 124454 / SEC#: 801-61985
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 822 |
| AUM (Assets Under Management) | $ 15,833,950,821 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2024 | ||
| 01/26/2024 | ||
| 01/03/2023 |
Red Flags
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