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4350 Congress Street Suite 1000, Charlotte, NC 28209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2017-09-15 |
| NC | RA | APPROVED | 2016-11-07 |
Branch Locations
4350 Congress Street Suite 1000, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sterling Capital Distributors, Llc | Charlotte | NC | 07/2016 | Present |
| Sterling Capital Management Llc | Charlotte | NC | 06/2016 | Present |
| Foreside Fund Services, Llc | Charlotte | NC | 10/2014 | 06/2016 |
| Bpv Capital Management | Knoxville | TN | 12/2012 | 06/2016 |
1) Sterling Capital Management LLC; Charlotte, NC; Investment Related; Began 06/20/2016; Investment advisor to funds/promote Sterling Capital funds; Senior Client Strategist-Taft Hartley/Director; Promote Sterling Capital Funds; 180 hours per month with 130 hours during securities trading hours. 2)Quaker Acre, LLC; Charlotte, NC; Non-investment related; Family owned vacation property which is occasionally rented to non-family members; Managing member of the LLC; manage the property; 4 hours per month zero hours during securities trading hours. 3)ABS III, LLC; Charlotte, NC; Non-investment related; Family owned vacation rental property which is occasionally rented to non-family members; Member of the LLC; assist managing member (wife) with organizational duties; 2 hours per month zero hours during securities trading hours. 4) The Carr 2021 Family Trust; Charlotte, NC; Investment Related - No; Started 09/01/2022; Trustee for friend's family trust; Trustee; Oversee administration of a trust on behalf of the designated beneficiaries; 2 hours per month with 0 hours during securities trading hours. 5) Great Rock, LLC; Not Investment Related; Vacation Rental; Managing Member; 5/19 Start Date; 2 hours per month, 0 during trading hours. 6) Mecklenburg County Board of Elections; Charlotte, NC; Non Investment Related; Provisional Ballots during primary and general elections; Provisional Transfer Assistant; Start Date 7/2024; 2 hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-03 |
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