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Catherine Anne Tse

Allen Investment Management, LLC

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About Catherine Anne Tse

Catherine Tse is an investment advisor representative with Allen Investment Management, LLC. Catherine has been working in the industry since 1998 and is registered with the state of New York. Catherine has a Series 7, Series 25, and Series 55 license and has passed the Uniform Securities Agent State Law Examination. Catherine Tse specializes in portfolio management for individuals, pooled investment vehicles, and selection of other advisors. Prior to working at Allen Investment Management, LLC, Catherine Tse worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Catherine Tse is currently registered with Allen Investment Management, LLC. Allen Investment Management, LLC is an investment advisor registered with the SEC based in NEW YORK, NY. They manage approximately $13.8 billion in assets for 746 accounts and primarily serve high-net-worth individuals and pooled investment vehicles. Their advisory services include portfolio management for individuals and pooled investment vehicles, as well as selection of other advisors. They also offer other customized wealth management services.
Allen Investment Management, LLC

711 FIFTH AVENUE, 10TH FLOOR

NEW YORK, NY 10022

$13.80B

Assets Under Management

5

Total Clients

7

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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customized wealth management services

Customized wealth management services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Catherine Tse’s Registration & Firm History

NY

08/20/2021 - Present

Allen Investment Management, LLC (NEW YORK NY)

NY

10/20/1998 - 11/25/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/26/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/12/1999

Series 25 - NYSE Trading Assistant Examination

BC

Issued 02/22/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/19/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Catherine Anne Tse.
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