JW
James Werner
TSA MANAGEMENT
Glen Head, NY 11545
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CRD#: 5037516
JW
Professional summary
James Werner III, CFP®, who also goes by James Werner, 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.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Werner
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.
YOUTH AND FAMILY COUNSELING AGENCY OF OYSTER BAY, 12 Irving Place OYSTER BAY NY Treasurer - Chairperson of finance committee, meeting with accountant, & auditor to ensure compliance with NYS and Nassau County. Is not investment related, but does have control over funds - check writing, co-signor on checks greater than $5,000. STARTED 12/1/2024 2-3 HRS/MO 0 DURING TRADING HRS. Sagamore Junior Sailing, 1 Bay Ave, Oyster Bay, NY 11771. Nominated for 3 year term starting January 1, 2022. Support club activities, leadership and corporate governance of by-laws. It is not investment related and I have no custody of funds. I will spend 2-3 hours per month and there will be no compensation for this. It is a 501 c-7 non-profit social club with 7-10 seasonal workers.
CRS (Client Relationship Summary) - RIA
Click below to view James Werner III'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®
CFP®
Start date: 2008
Experience
Current
January 17, 2020 - Present
TSA MANAGEMENT INC
Office #1: 725 Glen Cove Ave, Glen Head, NY 11545RIA
CRD#: 106440
Glen Head, NY
Current
April 15, 2009 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 725 Glen Cove Ave., 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
February 20, 2007 - April 23, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELVILLE, NY
Past
November 24, 2005 - April 23, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, 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
Arizona(7/8/2016)
RR
California(12/10/2013)
RR
Delaware(3/17/2022)
RR
Florida(4/15/2009)
RR
Georgia(4/15/2009)
RR
Hawaii(6/14/2019)
RR
Maryland(2/25/2014)
RR
Massachusetts(4/15/2009)
RR
Nevada(8/6/2021)
RR
New Hampshire(6/30/2017)
RR
New Jersey(4/15/2009)
IAR
New Jersey(1/17/2020)
RR
New York(4/15/2009)
IAR
New York(4/6/2021)
RR
North Carolina(8/31/2017)
RR
Ohio(12/18/2019)
RR
Pennsylvania(4/15/2009)
RR
Rhode Island(10/11/2018)
RR
South Carolina(8/14/2017)
RR
Vermont(9/19/2016)
RR
Virginia(4/15/2009)
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
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.
