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Allan Katz

Stirlingshire Investments
34 Years of Experience
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Allan Katz is a registered investment advisor at Stirlingshire Investments, based in Staten Island, NY, with 34 years of industry experience. Allan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 760 clients with $180M in assets under management.

Stirlingshire Investments
Compensation
Fee-Only (% of Portfolio)
Firm Size
23 advisors
Number of Clients
760 clients
Average Client Portfolio
$237K average
Assets Under Management
$179.8M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K - $1.0M1.50%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10M+0.50%

Fees are negotiable up to 2.00%. Clients may also be charged an AIM Model Strategy Fee between 0.20% and 1.00%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

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 ReportHow 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 7 mos
Stirlingshire Investments
June 2023 - Present · 2 yrs 10 mos
Stirlingshire InvestmentsBroker
June 2023 - Present · 2 yrs 10 mos
Comprehensive Wealth Management Group, LLC
July 2006 - Present · 19 yrs 9 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

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.