David B. Barrett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Bradford Barrett, who also goes by Brad Barrett, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2016 - May 6, 2026
STERLING CAPITAL MANAGEMENT LLC
July 20, 2016 - May 1, 2026
STERLING CAPITAL DISTRIBUTORS, LLC
October 2, 2014 - June 10, 2016
FORESIDE FUND SERVICES, LLC
January 2, 2013 - September 19, 2014
ALPS DISTRIBUTORS, INC.
March 28, 2012 - November 27, 2012
AURUS ADVISORS, INC.
March 27, 2009 - December 6, 2011
OPTSECURITIES, LLC
November 28, 2002 - May 17, 2005
AGGER CAPITAL MANAGEMENT, LLC
March 25, 2002 - March 21, 2003
COWEN PRIME SERVICES TRADING LLC
April 22, 1996 - October 19, 2000
PERSHING LLC
October 27, 1988 - April 23, 1996
ALEX. BROWN & SONS INCORPORATED
November 3, 1987 - November 9, 1988
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
March 8, 1983 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
December 10, 1981 - March 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STERLING CAPITAL MANAGEMENT LLC
CRD#: 135405 / SEC#: 801-64257
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STERLING CAPITAL MANAGEMENT LLC
CRD#: 135405 / SEC#: 801-64257
Contact information
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 |
|---|---|---|
| 02/24/2026 | ||
| 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.
