Allan Katz

COMPREHENSIVE WEALTH MANAGEMENT GROUP

Staten Island, NY 10309

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CRD#: 2166004

Professional summary

Allan Katz is a registered financial advisor currently at COMPREHENSIVE WEALTH MANAGEMENT GROUP, LLC located in Staten Island, New York and STIRLINGSHIRE INVESTMENTS located in Staten Island, New York.

Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Allan has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

COMPREHENSIVE WEALTH MANAGEMENT GROUP, LLC POSITION: President NATURE: Limited Liability Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 04/12/2007 ADDRESS: 243 Main Street, Staten Island NY 10307 DESCRIPTION: Financial planning, public speaking. This is has already been approved. It is my DBA and independent Registered Investment Advisory firm. ALLAN KATZ POSITION: Agent NATURE: Sole Propietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/1999 ADDRESS: 243 Main Street, Staten Island NY 10307 DESCRIPTION: Licensed Accident, Life, Health Insurance Free Lance Musician POSITION: Trombone Player NATURE: various bands INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: depends on the booking DESCRIPTION: free lance Trombone Player K&S Trains - Position: Owner Nature: Model Train Company Investment Related:No Started: Number of Hours 20hrs/Month, 0 During Trading Hours DESCRIPTION: Buy Sell and Repair Model Trains RetireOne Investment Services LLC Position: Variable Annuities Rep Investment Related: YES NUMBER OF HOURS: 10 Hrs/Month during trading DESCRIPTION: Sell Variable annuities to clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allan Katz'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 26, 2006 - Present

COMPREHENSIVE WEALTH MANAGEMENT GROUP, LLC

Office #1: 4864 Arthur Kill Road South Entrance #8, Staten Island, NY 10309

RIA

CRD#: 140510

Staten Island, NY

Current

September 12, 2023 - Present

STIRLINGSHIRE INVESTMENTS

RIA

CRD#: 327779

Staten Island, NY

Current

June 12, 2023 - Present

STIRLINGSHIRE INVESTMENTS

Office #1: 15 W 38th St Suite 704, New York City, NY 10018

CRD#: 310576

New York City, NY

Past

August 10, 2020 - June 14, 2023

BUCKMAN ADVISORY GROUP LLC

RIA

CRD#: 131688

staten island, NY

Past

June 29, 2020 - June 12, 2023

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

staten island, NY

Past

August 12, 2005 - November 11, 2006

AFFILIATED ADVISORS, INC.

RIA

CRD#: 131295

STATEN ISLAND, NY

Past

April 20, 2004 - May 28, 2020

OSAIC WEALTH, INC.

CRD#: 23131

STATEN ISLAND, NY

Past

September 26, 2002 - May 13, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

STATEN ISLAND, NY

Past

September 18, 2002 - May 13, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

April 11, 2000 - October 15, 2002

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 6, 1999 - April 10, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

May 29, 1998 - January 7, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 24, 1995 - June 2, 1998

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

February 18, 1994 - March 16, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

March 22, 1993 - March 25, 1994

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

RED BANK, NJ

Past

September 6, 1991 - March 25, 1993

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

August 16, 1991 - November 8, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 16, 1991 - November 8, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

STIRLINGSHIRE INVESTMENTS

STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA

Registered Investment Advisory firm - (9/7/2023 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

California
(8/29/2023)

IAR

New Jersey
(7/26/2006)

New Jersey
(6/12/2023)

IAR

New York
(11/9/2022)

New York
(6/12/2023)

Pennsylvania
(6/21/2023)

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: 1/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/28/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STIRLINGSHIRE INVESTMENTS

STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA

Registered Investment Advisory firm - (9/7/2023 Approved)

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Contact information

Main Address

15 W 38th St. #704, New York, NY 10018

Mailing Address

Phone number

(877) 600-7026

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STIRLINGSHIRE ADV PART 2 (10/22/2025)

Regulatory assets under management

Total Number of Accounts	1,135
AUM (Assets Under Management)	$ 179,802,588

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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Firm Stability Insights

Allan Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STIRLINGSHIRE INVESTMENTS

STIRLINGSHIRE INVESTMENTS

BUCKMAN ADVISORY GROUP LLC

BUCKMAN, BUCKMAN & REID, INC.

AFFILIATED ADVISORS, INC.

OSAIC WEALTH, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CETERA WEALTH SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

CITICORP INVESTMENT SERVICES

JOSEPH STEVENS & CO., INC.

H.J. MEYERS & CO., INC.

NETWORK 1 FINANCIAL SECURITIES INC.

GKN SECURITIES CORP.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STIRLINGSHIRE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1999

Series 63

Date: 8/29/1991

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1991

Series 53

Date: 4/28/2008

Series 24

Date: 11/6/2000

FINRA

Current Firm

STIRLINGSHIRE INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STIRLINGSHIRE INVESTMENTS

TRUST BUT VERIFY

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