Allan Roy Sternberg
Investment Adviser Representative at Knights OF Columbus Asset Advisors LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Allan Roy Sternberg is an investment adviser representative with Knights of Columbus Asset Advisors LLC in Plainview, NY, where they have been registered since 2025. They have worked in the securities industry since 2010 and have been registered with 7 firms, including Securities America, Inc. and Foresters Financial Services, Inc. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in New York.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
6 states and territories
Florida, Kentucky, Michigan, Mississippi, New Jersey, South Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- PENN Mutual LIFE INS CoJul 2008 – Mar 2018Horsham, PA
- Hornor Townsend AND KENT, IncJul 2008 – Mar 2018Horsham, PA
- Guardian LIFE Insurance Co OF AmericaJun 2018 – Sep 2018Meliville, NY
- PARK Avenue Securities, LLCJul 2018 – Sep 2018Melville, NY
- Foresters Financial ServicesOct 2018 – Jun 2019Edison, NJ
- Securities America, IncJun 2021 – Jul 2022Plainview, NY
- Illinois MutualOct 2019 – Feb 2025Peoria, IL
- UnemployedJun 2019 – Oct 2019Plainview, NY
- Vigilant Distributors, LLCApr 2025 – no end date reportedChadds Ford, PA
- Knights of Columbus Asset AdvisorsMar 2025 – no end date reportedNew Haven, CT
Official records & sources
Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Knights OF Columbus Asset Advisors LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Mutual funds, separate accounts, model portfolios, target date portfolios, and donor advised funds, all aligned with USCCB investment guidelines.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 230
- Offices listed on AdvisorFinder:
- 2
- Main office:
- New Haven, CT
- SEC file number:
- 801-80844
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Knights OF Columbus Asset Advisors LLC
Showing 12 of 230 in the directory
Similar advisors in Plainview, NY
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Allan Roy Sternberg has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched