Allan R. Sternberg

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Plainview, NY

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CRD#: 1863445

Professional summary

Allan Roy Sternberg, who also goes by Allan Roy Sternberg Jr, Allan Roy Sternberg, is a registered financial advisor currently at KNIGHTS OF COLUMBUS ASSET ADVISORS LLC located in Plainview, New York and VIGILANT DISTRIBUTORS, LLC located in New Haven, Connecticut.

Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Allan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allan Roy Sternberg Jr | Allan Roy Sternberg

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.

Knights of Columbus Insurnace 2 Columbus Plaza New Haven CT Life Insurance, Annuities, LTC, DI Regional VP of Sales - 2/24/2025 start date 50 hrs/wk, 0 hours trading Work with GA's and Agents driving recruiting and life sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Roy Sternberg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 18, 2025 - Present

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

RIA

CRD#: 174129

Plainview, NY

Current

April 30, 2025 - Present

VIGILANT DISTRIBUTORS, LLC

Office #1: 1 Columbus Plaza, New Haven, CT 06510

CRD#: 285573

New Haven, CT

Past

June 23, 2021 - July 14, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 30, 2019 - June 28, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Past

July 5, 2018 - October 10, 2018

PARK AVENUE SECURITIES LLC

CRD#: 46173

MELVILLE, NY

Past

July 15, 2008 - July 13, 2018

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

PLAINVIEW, NY

Past

November 24, 2005 - July 8, 2008

PARK AVENUE SECURITIES LLC

CRD#: 46173

GARDEN CITY, NY

Past

August 16, 1988 - February 8, 1989

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

August 16, 1988 - February 8, 1989

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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".

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 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.

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

Florida
(4/30/2025)

Kentucky
(4/30/2025)

Michigan
(4/30/2025)

Mississippi
(4/30/2025)

New Jersey
(4/30/2025)

IAR

New York
(7/18/2025)

South Carolina
(4/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/18/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/20/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

BOSTON ADVISORS | KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

CRD#: 174129 / SEC#: 801-80844

RIA

Registered Investment Advisory firm - (1/23/2015 Approved)

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Contact information

Main Address

One Columbus Plaza, New Haven, CT 06510

Mailing Address

Phone number

(203) 752-4502

Established

Firm type

Fiscal year end

# of Employees

226

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC ADV PART 2A BROCHURE 6.4.2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	5,592
AUM (Assets Under Management)	$ 28,035,873,347

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.

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Advisor Monitoring

Firm Stability Insights

Allan R. Sternberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Roy Sternberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIGILANT DISTRIBUTORS, LLC

SECURITIES AMERICA, INC.

FORESTERS FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

PARK AVENUE SECURITIES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2025

Series 63

Date: 12/14/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/23/2005

Series 6

Date: 8/15/1988

Series 24

Date: 2/20/2006

FINRA

Current Firm

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KNIGHTS OF COLUMBUS ASSET ADVISORS LLC

TRUST BUT VERIFY

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