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Frank V. Finch
TSA MANAGEMENT
Clifton Park Dr, NY 12065
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CRD#: 4027536
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Professional summary
Frank Vee Finch is a registered financial advisor currently at TSA MANAGEMENT INC located in Clifton Park Dr, New York and HALLIDAY FINANCIAL, LLC located in Clifton Park, New York.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Frank has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
1.DBA - LIFE STAGES FINANCIAL GROUP. INVESTMENT RELATED.
2.APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF SOLICITING LIFE, HEALTH AND DISABILITY INSURANCE. NOT INVESTMENT RELATED.
3.PART-TIME INTRUCTOR OFFERING FINANCIAL LITERACY AND OTHER CLASSES, ORDINARILY 0-4 HOURS PER WEEK OUTSIDE OF SECURITIES TRADING HOURS.
4.PART-TIME INSTRUCTOR IN ADULT AND K-12 EDUCATION. BOCES MEMBER SCHOOLS, 900 WATERVLIET-SHAKER RD, ALBANY, NY AND 1153 BURGOYNE AVE, FORT EDWARD, NY. NOT INVESTMENT RELATED. ORDINARILY 0-10 HOURS PER WEEK OUTSIDE OF SECURITIES TRADING HOURS, AND 0-9 HOURS PER WEEK DURING SECURITIES TRADING HOURS.
5.OWNER OF RENTAL PROPERTY. NOT INVESTMENT RELATED. ORDINARILY 0- 2 HOURS PER WEEK OUTSIDE OF SECURITIES TRADING HOURS.
6.COACH TO BUSINESS PROFESSIONALS FOR LIMITED ENGAGEMENTS. NOT INVESTMENT RELATED. WHEN ACTIVE THIS ACTIVITY WILL TAKE APPROXIMATELY 0 - 10 HOURS PER MONTH, ORDINARILY OUTSIDE OF SECURITIES TRADING HOURS.
7.TRUSTEE OF INVESTMENT PORTFOLIO FOR THE ORIENTAL SHRINE (A 501C CHARITY), 75 WATER PLANT ROAD, TROY, NY. INVESTMENT RELATED. APPROXIMATELY 2 HOURS PER MONTH, ORDINARILY OUTSIDE OF SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Vee Finch'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: 4 Executive Park Dr Suite 101, Clifton Park Dr, NY 12065RIA
CRD#: 106440
Clifton Park Dr, NY
Current
May 18, 2012 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 4 Executive Park Drive, Clifton Park, NY 12065BD
CRD#: 31741
Clifton Park, NY
Past
June 7, 2017 - December 31, 2019
TSA MANAGEMENT INC
RIA
CRD#: 106440
Clifton Park, NY
Past
July 28, 2009 - May 15, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LATHAM, NY
Past
November 26, 2002 - July 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LATHAM, NY
Past
November 11, 1999 - June 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
IAR
New Jersey(1/17/2020)
RR
New York(5/18/2012)
IAR
New York(4/6/2021)
RR
North Carolina(9/22/2014)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
