Shawn E. Klotsche

THE WEALTH ALLIANCE

Melville, NY 11747

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CRD#: 6573897

Professional summary

Shawn Edward Klotsche, CFP® is a registered financial advisor currently at THE WEALTH ALLIANCE, LLC located in Melville, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Melville, New York.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Shawn has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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) Shawn Klotsche is dually-registered as an investment Advisor Representative with The Wealth Alliance, LLC ("WA" - since 09/2019) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS" - since 10/2019). Business is conducted from 105 Broadhollow Road, Melville, NY 11747. Approximately 90% of Mr. Klotsche's time is for services as an Investment Advisor Representative with WA and the balance as a Registered Representative with PKS. WA and PKS are not affiliated. 2. IMA - Long Island Board of Directors. Not Investment Related. 10 Paragon Drive, Montvale, NJ 07645. Board of Directors. Board Member. 10.2023. 5 Hrs/Mo; 0 During Trading Hours. I will be assisting the board with decisions on various subjects.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Edward Klotsche'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

Experience

Current

August 31, 2021 - Present

THE WEALTH ALLIANCE, LLC

Office #1: 105 Broadhollow Road, Melville, NY 11747

RIA

CRD#: 305052

Melville, NY

Current

October 16, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 105 Broadhollow Road, Melville, NY 11747

CRD#: 35747

Melville, NY

Past

August 5, 2019 - September 10, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBURY, NY

Past

July 3, 2019 - September 10, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

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".

THE WEALTH ALLIANCE, LLC

LINKS WEALTH PARTNERS LLC | THE WEALTH ALLIANCE, LLC

CRD#: 305052 / SEC#: 801-117251

RIA

Registered Investment Advisory firm - (8/26/2019 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

New York
(10/16/2019)

IAR

New York
(8/31/2021)

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: 7/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/3/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/9/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

THE WEALTH ALLIANCE, LLC

LINKS WEALTH PARTNERS LLC | THE WEALTH ALLIANCE, LLC

CRD#: 305052 / SEC#: 801-117251

RIA

Registered Investment Advisory firm - (8/26/2019 Approved)

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Contact information

Main Address

105 Broadhollow Road, Melville, NY 11747

Mailing Address

Phone number

(631) 670-0682

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WA DISCLOSURE BROCHURE AND SUPPLEMENTS (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,315
AUM (Assets Under Management)	$ 1,908,079,716

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

Shawn E. Klotsche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Edward Klotsche's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

THE WEALTH ALLIANCE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2019

Series 7TO

Date: 7/3/2019

SIE

Date: 5/9/2019

FINRA

Current Firm

THE WEALTH ALLIANCE, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE WEALTH ALLIANCE, LLC

TRUST BUT VERIFY

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