Kathleen Xuan Phan
Investment Adviser Representative at Stirlingshire Investments
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kathleen Xuan Phan is an investment adviser representative with Stirlingshire Investments in West Covina, CA, where they have been registered since 2023. They have worked in the securities industry since 2004 and have been registered with 3 firms, including LPL Financial LLC and National Planning Corporation ("NPC of America" in FL & NY). They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and New York.
Registrations & licenses
- Investment adviser:
- California, New York
- Broker:
4 states and territories
Arizona, California, Idaho, Texas
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.
- National Planning CorporationApr 2004 – Nov 2017West Covina, CA
- LPL Financial LLCNov 2017 – Nov 2023West Covina, CA
- Stirlingshire BD LLCNov 2023 – no end date reportedNew York, NY
- Stirlingshire RIA LLCNov 2023 – no end date reportedNew York, NY
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Stirlingshire Investments
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Estimated blended rate
- 0.02
- First $250,0002.00%
- $250,001 - $500,0001.75%
- $500,001 - $1,000,0001.50%
- $1,000,001 - $3,000,0001.25%
+3 more tiers on the firm profile
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
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 28
- Offices listed on AdvisorFinder:
- 6
- Main office:
- New York, NY
- SEC file number:
- 801-128665
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
View full firm profileOther advisors at Stirlingshire Investments
Showing 12 of 28 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kathleen Xuan Phan 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.
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