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KP

Kathleen X. Phan

STIRLINGSHIRE INVESTMENTS
WEST COVINA, CA
Some features on this profile are disabled
CRD#: 4705029
KP
Kathleen Xuan PhanSTIRLINGSHIRE INVESTMENTS

Professional summary

Kathleen Xuan Phan is a registered financial advisor currently at STIRLINGSHIRE INVESTMENTS located in West Covina, California and STIRLINGSHIRE INVESTMENTS located in New York City, New York.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kathleen has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Xuan Phan'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

November 3, 2023 - Present

STIRLINGSHIRE INVESTMENTS

RIA
CRD#: 327779
WEST COVINA, CA
Current

November 3, 2023 - Present

STIRLINGSHIRE INVESTMENTS

Office #1: 15 W 38th St Suite 704, New York City, NY 10018
BD
CRD#: 310576
NEW YORK CITY, NY
Past

November 29, 2017 - December 1, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
WEST COVINA, CA
Past

November 29, 2017 - December 1, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
WEST COVINA, CA
Past

November 16, 2012 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
WEST COVINA, CA
Past

May 7, 2004 - November 29, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
WEST COVINA, CA

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".
SI
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.
RR
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

RR
Arizona
(11/3/2023)
RR
California
(11/3/2023)
IAR
California
(11/3/2023)
RR
Idaho
(11/3/2023)
IAR
New York
(11/6/2023)
RR
Texas
(11/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/14/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/5/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
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
29

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STIRLINGSHIRE ADV PART 2 (1/27/2026)

Regulatory assets under management

Total Number of Accounts1,135
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.

Company Information

STIRLINGSHIRE INVESTMENTS

CRD#: 327779West Covina, CA

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Contact information

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