Kathleen X. Phan

STIRLINGSHIRE INVESTMENTS

WEST COVINA, CA

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CRD#: 4705029

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.

1) RetireOne Investment Services LLC Investment Related: YES ADDRESS: 222 SOUTH 1ST STREET, SUITE 600 Nature: Annuities LOUISVILLE, KY Position: Variable Annuities Sales NUMBER OF HOURS: 10 Hrs/Month during trading DESCRIPTION: Sell Variable annuities to clients 2) American Funds/Capital Group; YES; 12711 N. Meridian Street Carmel, IN 46032-9181; Asset Management Firm; Registered Representative; December 12, 2025; 5 hours per month; *hrs/month during trdae hours*; Opening and managing 529s without compensation.

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

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

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

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".

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

Arizona
(11/3/2023)

California
(11/3/2023)

IAR

California
(11/3/2023)

Idaho
(11/3/2023)

IAR

New York
(11/6/2023)

Texas
(11/3/2023)

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 66

Date: 11/6/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/14/2004

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: 3/21/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/5/2004

Investment Company Products/Variable Contracts Representative 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 (1/27/2026)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Kathleen X. Phan

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Xuan Phan's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIRLINGSHIRE INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

STIRLINGSHIRE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2008

Series 63

Date: 5/14/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2006

Series 6

Date: 5/5/2004

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

Contact information

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