Allan Katz

Stirlingshire Investments

34 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Stirlingshire Investments

Compensation

Fee-Only (AUM)

Firm Size

24 advisors

Number of Clients

264 clients

Average Client Portfolio

$262K average

Assets Under Management

$69.2M

Fee Structure

Minimum Investment:None

Financial Planning:Investment management only

Location

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

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

March 2021

Final

Employment Separation After Allegations

May 2020

Customer Dispute

June 2019

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Allan hosts networking meetings, is the president of Comprehensive Wealth Management Group LLC, and is a licensed accident, life, and health insurance agent. He also participates in the Staten Island Republican County Committee, works as a freelance musician, and is the treasurer of a Masonic lodge.

Employment History

Current Registrations

Stirlingshire Investments

September 2023 - Present · 2 yrs 5 mos

Stirlingshire Investments

June 2023 - Present · 2 yrs 8 mos

Stirlingshire InvestmentsBroker

June 2023 - Present · 2 yrs 8 mos

Comprehensive Wealth Management Group, LLC

July 2006 - Present · 19 yrs 7 mos

Previous Registrations

Buckman Advisory Group LLC

August 2020 - June 2023 · 2 yrs 10 mos

Buckman, Buckman & Reid, INC.Broker

June 2020 - June 2023 · 3 yrs

Invescor Advisory Services, INC.

August 2005 - November 2006 · 1 yr 3 mos

Royal Alliance Associates, INC.Broker

April 2004 - May 2020 · 16 yrs 1 mo

Ing Financial Partners, INC

September 2002 - May 2004 · 1 yr 8 mos

Ing Financial Partners, INC.Broker

September 2002 - May 2004 · 1 yr 8 mos

Financial Network Investment CorporationBroker

April 2000 - October 2002 · 2 yrs 6 mos

First Union Brokerage Services, INC.Broker

January 1999 - April 2000 · 1 yr 3 mos

Citicorp Investment ServicesBroker

May 1998 - January 1999 · 8 mos

Joseph Stevens & Company, INC.Broker

February 1995 - June 1998 · 3 yrs 4 mos

Thomas James Associates, INC.Broker

February 1994 - March 1995 · 1 yr 1 mo

Network 1 Financial Securities INC.Broker

March 1993 - March 1994 · 1 yr

Gkn Securities CORP.Broker

September 1991 - March 1993 · 1 yr 6 mos

American Express Financial Advisors INC.Broker

August 1991 - November 1991 · 3 mos

Ids Life Insurance CompanyBroker

August 1991 - November 1991 · 3 mos

State Registrations4 states

CANJNYPA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.