NS
Nicholas R. Stark
TSA MANAGEMENT
Clifton Park, NY 12065
Some features on this profile are disabled
CRD#: 5909482
NS
Professional summary
Nicholas R Stark, who also goes by Nick Stark, is a registered financial advisor currently at TSA MANAGEMENT INC located in Clifton Park, New York and HALLIDAY FINANCIAL, LLC located in Clifton Park, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Stark
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.
Beginning April 2018, P&C Insurance Sales Solicitor for Moore Insurance Agency, located at 1471 Route 9, Suite 214, Clifton Park, NY 12065. Will devote approximately 2 hours per week, all of which will occur during securities trading hours, to this business activity. Not investment related. Beginning March 2019, laborer for Starkscapes Landscaping, located at 218 Placid Drive, Schenectady, NY 12303. Will devote approximately 4 hours per week to this activity, none of which will occur during securities trading hours. Not investment related Starting in August 2025, I have joined the fundraising committee of the Wonderland Nursery School located at 1915 Heldeberg Ave, Schenectady NY 12306. While this is not an investment related activity, I may solicit donations and sponsorship opportunities through work-related contacts and may handle money at certain fundraising events. I will devote about 2 hours per month to this activity, none of which will occur during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas R Stark'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
July 29, 2021 - Present
TSA MANAGEMENT INC
Office #1: 4 Executive Park Drive, Clifton Park, NY 12065RIA
CRD#: 106440
Clifton Park, NY
Current
June 6, 2017 - Present
HALLIDAY FINANCIAL, LLC
Office #1: 4 Executive Park Drive, Clifton Park, NY 12065BD
CRD#: 31741
Clifton Park, NY
Past
March 25, 2017 - June 9, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LATHAM, NY
Past
June 23, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LATHAM, 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
Arkansas(7/25/2017)
RR
California(12/4/2022)
RR
Colorado(7/27/2022)
RR
Florida(6/6/2017)
RR
Kentucky(8/16/2017)
RR
Maine(8/9/2022)
RR
Maryland(2/15/2023)
RR
Massachusetts(6/6/2017)
RR
Nevada(10/8/2021)
RR
New York(6/6/2017)
IAR
New York(7/29/2021)
RR
North Carolina(7/31/2022)
RR
Ohio(6/6/2017)
RR
South Carolina(10/8/2021)
RR
Vermont(3/6/2018)
Exams
State Security Law Exam
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.
