Inactive

Catherine Anne Tse

Allen Investment Management, LLC

CRD 3116982

Claim This Profile

Employer firm

Allen Investment Management, LLC CRD 124454

$16.9B regulatory AUM 4 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (pooled vehicles)
Selection of other advisers
CUSTOMIZED WEALTH MANAGEMENT SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Allen Investment Management, Llc

711 Fifth Avenue, 10Th Floor, New York, NY 10022 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-20

NY RA
APPROVED

Since 2021-08-20

Branch Locations

711 Fifth Avenue, 10Th Floor, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Unemployed	New York	NY	04/2015	06/2017
Cascina Llc	New York	NY	06/2017	05/2018
Qu Capital	New York	NY	05/2018	04/2019
Allen Investment Management, Llc	New York	NY	04/2019	Present

04/2015 → 06/2017

Unemployed

New York, NY
06/2017 → 05/2018

Cascina Llc

New York, NY
05/2018 → 04/2019

Qu Capital

New York, NY
04/2019 → Present

Allen Investment Management, Llc

New York, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-09-26

S63 Uniform Securities Agent State Law Examination

1998-09-26

Other Names

Tse Catherine

View on SEC IAPD

Nearby Firms

ISLET MANAGEMENT, LP

P2 CAPITAL PARTNERS, LLC

KINYAN CAPITAL MANAGEMENT LLC

Nearby Investors

STEVEN MARC MUEHLGAY

STEPHANIE LYNN FAGENSON

Nearby Offices

ISLET MANAGEMENT, LP · NEW YORK, NY

P2 CAPITAL PARTNERS, LLC · NEW YORK, NY

KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

More in New York, NY

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor