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Katherine Stein

Tsa Management INC
15 Years of Experience
Glen Head, NY
Broker
View SEC Summary
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Katherine Stein is a registered investment advisor at Tsa Management INC, based in Glen Head, NY, with 15 years of industry experience. Katherine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,566 clients with $1.5B in assets under management.

Tsa Management INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
30 advisors
Number of Clients
2,566 clients
Average Client Portfolio
$576K average
Assets Under Management
$1.5B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.00%
$500K - $1.0M1.00%
$1.0M - $5.0M0.75%
$5.0M - $10.0M0.50%
$10M+0.20%

Rates reflect TSA Portfolio Management's primary equity schedule under Lockwood programs. Fees may vary by program, such as 0.75% to 1.5% for accounts under $500K in Pershing Tier I, and are subject to negotiation for larger accounts. Other programs like Marstone charge 0.5% and CUNY charges 0.55% to 0.75%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

725 Glen Cove Ave, Glen Head, NY, 11545

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Katherine works as a tax preparer for KP Stein INC. DBA Moskowitz and Simmons during February, March, and April, dedicating a few hours per week. Effective 12/31/16, Katherine owns 100% of the company.

Employment History
Current Registrations
Tsa Management INC
January 2020 - Present · 6 yrs 9 mos
Halliday Financial, LLCBroker
July 2013 - Present · 13 yrs 3 mos
Previous Registrations
Tsa Management INC
May 2017 - December 2019 · 2 yrs 7 mos
New England SecuritiesBroker
May 2011 - July 2013 · 2 yrs 2 mos
AXA Advisors, LLCBroker
February 2011 - May 2011 · 3 mos
State Registrations12 states
ARCACTFLGAIAMANCNJNYTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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