MR
Michael J. Romer
TSA MANAGEMENT
Glen Head, NY 11545
Some features on this profile are disabled
CRD#: 5082414
MR
Professional summary
Michael Jonathan Romer, CFP®, who also goes by Michael J Romer, 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 2006. Michael has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Romer
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. SUSAN MILLER LLC-NUTRITION COUNSELING; NON INVESTMENT RELATED; FORT SALONGA, NY; 0 HOURS WIFE'S BUSINESS, NO DUTIES; 04/2014 2.Sumrick Builders; Investment related: No; Residential construction and repairs; Independent Contractor (proprietor, partner, officer, director, employee, trustee, agent); Dec 2017; During business hours: 0; After business hours: 8; Quickbooks data entry for invoicing, purchase orders and accounts payable. 3. Romer Consulting LLC; Investment related Yes; Private Company; May 2018; During business hours: 0; After business hours: 8; The actual Quickbooks data entry. *386488 - Mercer & Broome LLC; Investment related; New York, NY; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent);Dec 2019; During business hours: 0; After business hours: 0. Catskill Greene Holdings LLC 5098 NY-23, Windham, NY 12496. Catskill Greene rents and will operate a hotel/restaurant called Union & Post it leases from Windham 95. I will reconcile Quickbooks accounting software with the bank. It is not investment related and I will spend 2 hours a month and will receiove $9k annually from this with a flat fee of $750 per month. It is a Corporation with William Hodge 38% $200K, Michael Romer 10% $67K Michael Pistone 20% $130K Jonathan Beihling 32% $0. Windham 95 LLC 5098 Route 23, Windham, NY 12496 Windham 95 LLC owns a hotel & restaurant venue in Windham, NY and leases it to an operating Company called Catskill Greene LLC. i am a part owner. It is not investment related and i will work 1 hour per month and make zero dollars and the lease payment pays the mortgage down and grows equity. It is a Corporation and William Hodge 95% $555k Michael Romer 5% $0. Sik Shot Ltd 34 2nd Street, Ronkonkoma NY 11797. Not investment related. The company sells lacrosse goals and nets. spend 1 hour per month and zero compensation, zero trading hours spent on this and zero annual income. It is a corporation with Michael Romer 24%, William Hodge 24%, Rob Rimmer 42% & Kevin Rimmer 10%. None of them are related to Halliday Financial, LLC Gold Star Laces 369 Ponfield Place, Ridgewood, NJ 07450. Mike is an investor in this company that that designs and imports training shoelaces for children and special needs childres. It is not investment related. He has no custody or control over funds and zero hours will be spent on this OBA. Their is no income from this hopefully through dividends in a few years but no compensation as of 2022. The partners are Renee Shafran, 52%, Michael Romer, 19%, William Hodge 19% & Jessie Wroblewski 10%.None of these people are affiliated with Halliday Financial, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Jonathan Romer'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®
Experience
Current
April 6, 2021 - Present
TSA MANAGEMENT INC
Office #1: 725 Glen Cove Avenue, Glen Head, NY 11545RIA
CRD#: 106440
Glen Head, NY
Current
November 12, 2020 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 725 Glen Cove Avenue, Glen Head, NY 11545BD
CRD#: 31741
Glen Head, NY
Past
April 5, 2012 - November 25, 2020
MORGAN STANLEY
BD
CRD#: 149777
MELVILLE, NY
Past
May 25, 2006 - April 13, 2012
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
California(11/12/2020)
RR
Connecticut(11/12/2020)
RR
Florida(11/12/2020)
RR
Massachusetts(11/12/2020)
RR
New Jersey(11/12/2020)
RR
New York(11/12/2020)
IAR
New York(4/6/2021)
RR
North Carolina(11/12/2020)
RR
Washington(10/3/2022)
Exams
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.
