Joseph S. Lemme

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CRD#: 4794936

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph S. Lemme was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 17, 2020 - August 4, 2021

TSA MANAGEMENT INC

RIA

CRD#: 106440

GLEN HEAD, NY

Past

June 7, 2017 - December 31, 2019

TSA MANAGEMENT INC

RIA

CRD#: 106440

Sarasota, FL

Past

June 5, 2012 - August 4, 2021

HALLIDAY FINANCIAL, LLC

CRD#: 31741

Sarasota, FL

Past

June 21, 2010 - June 1, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CATSKILL, NY

Past

June 21, 2010 - June 1, 2012

LPL FINANCIAL LLC

CRD#: 6413

CATSKILL, NY

Past

June 14, 2010 - June 21, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

CATSKILL, NY

Past

June 14, 2010 - June 21, 2010

LPL FINANCIAL LLC

CRD#: 6413

CATSKILL, NY

Past

October 25, 2005 - June 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CATSKILL, NY

Past

October 25, 2005 - June 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CATSKILL, NY

Past

July 7, 2004 - October 12, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/12/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/6/2004

General Securities Representative Examination

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.

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Advisor Monitoring

Firm Stability Insights

Joseph S. Lemme

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TSA MANAGEMENT INC

HALLIDAY FINANCIAL, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TSA MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2004

SIE

Date: 10/1/2018

Series 31

Date: 8/12/2004

Series 7

Date: 7/6/2004

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

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