KP
KP

Kathleen Xuan Phan

21 Years of Experience
Broker
Areas of Practice
Investment Management
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
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Location

15 W 38th St., #704, New York, NY, 10018

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Stirlingshire Investments
November 2023 - Present · 2 yrs 3 mos
Stirlingshire Investments
November 2023 - Present · 2 yrs 3 mos
Stirlingshire InvestmentsBroker
November 2023 - Present · 2 yrs 3 mos
Previous Registrations
LPL Financial LLC
November 2017 - December 2023 · 6 yrs 1 mo
LPL Financial LLCBroker
November 2017 - December 2023 · 6 yrs 1 mo
National Planning Corporation ("npc of America" in Fl & Ny)
November 2012 - November 2017 · 5 yrs
National Planning CorporationBroker
May 2004 - November 2017 · 13 yrs 6 mos
State Registrations5 states
AZCAIDNYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Kathleen Xuan Phan - Financial Advisor | TrueAdvisor