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4350 Congress Street Suite 1000, Charlotte, NC 28209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-06-12 |
Branch Locations
150 S. Warner Road Suite 201, King Of Prussia, PA 19406 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Clearbridge Investments | Wilmington | DE | 03/2014 | 12/2022 |
| Unemployed | Doylestown | PA | 01/2023 | 05/2023 |
| Sterling Capital Management Llc | King Of Prussia | PA | 06/2023 | Present |
Eastern Shore Forest Products - Board Services - Company is privately held, non-investment related, producer of forest products including mulch, animal bedding, pine shavings and related materials. Duties include, providing the owner/operator of the business strategic advice and assist in analysis of strategic decision related to ongoing business. Estimated time devoted to activity is 10 per month - no hours during securities trading hours. Start date was January 2023
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-10-12 |
| S65 | Uniform Investment Adviser Law Examination | 2013-02-21 |
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