DB
David B. Barrett
STERLING CAPITAL MANAGEMENT LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 1018614
DB
Professional summary
David Bradford Barrett, who also goes by Brad Barrett, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina and STERLING CAPITAL DISTRIBUTORS, LLC located in Charlotte, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. David has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Barrett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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
CRS (Client Relationship Summary) - RIA
Click below to view David Bradford Barrett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 7, 2016 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209RIA
CRD#: 135405
Charlotte, NC
Current
July 20, 2016 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209BD
CRD#: 103934
Charlotte, NC
Past
October 2, 2014 - June 10, 2016
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
January 2, 2013 - September 19, 2014
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
March 28, 2012 - November 27, 2012
AURUS ADVISORS, INC.
BD
CRD#: 128096
PONTE VEDRA BEACH, FL
Past
March 27, 2009 - December 6, 2011
OPTSECURITIES, LLC
BD
CRD#: 47529
CHARLOTTE, NC
Past
November 28, 2002 - May 17, 2005
AGGER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 118382
ENGLEWOOD, CO
Past
March 25, 2002 - March 21, 2003
COWEN PRIME SERVICES TRADING LLC
BD
CRD#: 23857
NEW YORK, NY
Past
April 22, 1996 - October 19, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
October 27, 1988 - April 23, 1996
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
November 3, 1987 - November 9, 1988
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
March 8, 1983 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
December 10, 1981 - March 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT
CRD#: 135405 / SEC#: 801-64257
RIA
Registered Investment Advisory firm - (6/2/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2019)
RR
Alaska(1/3/2019)
RR
Arizona(1/2/2019)
RR
Arkansas(1/2/2019)
RR
California(1/2/2019)
RR
Colorado(1/2/2019)
RR
Connecticut(1/2/2019)
RR
Delaware(1/3/2019)
RR
District of Columbia(1/7/2019)
RR
Florida(1/3/2019)
IAR
Georgia(9/15/2017)
RR
Georgia(4/15/2019)
RR
Hawaii(1/2/2019)
RR
Idaho(1/8/2019)
RR
Illinois(4/2/2019)
RR
Indiana(1/3/2019)
RR
Iowa(1/3/2019)
RR
Kansas(1/4/2019)
RR
Kentucky(1/4/2019)
RR
Louisiana(1/2/2019)
RR
Maine(1/3/2019)
RR
Maryland(1/7/2019)
RR
Massachusetts(1/2/2019)
RR
Michigan(1/4/2019)
RR
Minnesota(1/2/2019)
RR
Mississippi(1/3/2019)
RR
Missouri(1/3/2019)
RR
Montana(1/3/2019)
RR
Nebraska(2/13/2019)
RR
Nevada(1/9/2019)
RR
New Hampshire(1/3/2019)
RR
New Jersey(1/3/2019)
RR
New Mexico(1/3/2019)
RR
New York(1/4/2019)
RR
North Carolina(7/20/2016)
IAR
North Carolina(11/7/2016)
RR
North Dakota(1/3/2019)
RR
Ohio(1/3/2019)
RR
Oklahoma(1/7/2019)
RR
Oregon(1/2/2019)
RR
Pennsylvania(1/3/2019)
RR
Rhode Island(1/3/2019)
RR
South Carolina(1/3/2019)
RR
South Dakota(1/11/2019)
RR
Tennessee(1/3/2019)
RR
Texas(1/8/2019)
RR
Utah(1/3/2019)
RR
Vermont(1/3/2019)
RR
Virginia(1/2/2019)
RR
Washington(1/2/2019)
RR
West Virginia(1/7/2019)
RR
Wisconsin(1/3/2019)
RR
Wyoming(1/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT
CRD#: 135405 / SEC#: 801-64257
RIA
Registered Investment Advisory firm - (6/2/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4350 Congress Street Suite 1000, Charlotte, NC 28209
Mailing Address
Phone number
(704) 927-4175
Established
Firm type
Fiscal year end
# of Employees
182
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,535 |
| AUM (Assets Under Management) | $ 66,159,908,769 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/28/2024 | ||
| 04/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
