Tracy A. Schaff

STIRLINGSHIRE INVESTMENTS

Tacoma, WA

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CRD#: 5179646

Professional summary

Tracy Allan Schaff, CFP® is a registered financial advisor currently at STIRLINGSHIRE INVESTMENTS located in Tacoma, Washington and STIRLINGSHIRE INVESTMENTS located in New York City, New York.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Tracy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

1.Ascensus Consulting - 401k/529 Consulting, INV RELATED: Yes ,NUMBER OF HOURS: 0 Hrs/Month during trading DESCRIPTION: Service 401k, 529 Plans 2.Tracy Schaff; Sole proprietor; Insurance sales, Tacoma, WA, Commissions. Investment related Y, Selling Insurance 3.RetireOne - Position: Variable Annuities Rep Investment Related: YES NUMBER OF HOURS: 2 Hrs/Month during trading DESCRIPTION: Sell annuities, 529 plans to clients 4.Highland Capital - Position: Variable Annuities Rep Investment Related: YES NUMBER OF HOURS: 2 Hrs/Month during trading DESCRIPTION: Sell annuities to clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Allan Schaff'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

October 17, 2024 - Present

STIRLINGSHIRE INVESTMENTS

RIA

CRD#: 327779

Tacoma, WA

Current

October 17, 2024 - Present

STIRLINGSHIRE INVESTMENTS

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

CRD#: 310576

New York City, NY

Past

June 1, 2016 - October 18, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Des Moines, WA

Past

June 1, 2016 - October 18, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

University Place, WA

Past

September 26, 2013 - June 2, 2016

M HOLDINGS SECURITIES, INC.

CRD#: 43285

SEATTLE, WA

Past

August 29, 2013 - June 2, 2016

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

SEATTLE, WA

Past

December 3, 2012 - May 9, 2014

KOSMOS MANAGEMENT LLC

RIA

CRD#: 164712

SEATTLE, WA

Past

April 18, 2011 - September 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

SEATTLE, WA

Past

April 18, 2011 - September 30, 2011

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

SEATTLE, WA

Past

May 29, 2009 - March 28, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

TACOMA, WA

Past

November 9, 2006 - March 28, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

TACOMA, WA

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

Alaska
(10/17/2024)

Arizona
(10/17/2024)

California
(10/17/2024)

Idaho
(10/17/2024)

Montana
(10/17/2024)

Nevada
(10/17/2024)

New York
(10/17/2024)

Oregon
(10/17/2024)

Pennsylvania
(10/17/2024)

South Dakota
(10/17/2024)

Texas
(10/17/2024)

Utah
(10/17/2024)

Washington
(10/17/2024)

IAR

Washington
(10/17/2024)

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: 11/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/2006

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: 12/31/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/8/2006

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 (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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Advisor Monitoring

Firm Stability Insights

Tracy A. Schaff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STIRLINGSHIRE INVESTMENTS

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

KOSMOS MANAGEMENT LLC

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

STIRLINGSHIRE INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2007

Series 63

Date: 11/22/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/31/2008

Series 6

Date: 11/8/2006

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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