Kathleen Phan is a registered investment advisor, based in New York, NY, with 21 years of industry experience.
Location
15 W 38th St., #704, New York, NY, 10018
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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.
Learn about disclosures →Employment History
Current Registrations
Stirlingshire Investments
November 2023 - Present · 2 yrs 5 mos
Stirlingshire Investments
November 2023 - Present · 2 yrs 5 mos
Stirlingshire InvestmentsBroker
November 2023 - Present · 2 yrs 5 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
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.