Andrew Richman
Professional summary
Andrew Richman, who also goes by Andy Richman, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Palm Beach Gardens, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Andrew has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Richman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2020 - Present
STERLING CAPITAL MANAGEMENT LLC
January 19, 2017 - August 5, 2020
TRUIST ADVISORY SERVICES, INC.
December 8, 2016 - December 31, 2017
GFO ADVISORY SERVICES, LLC
January 24, 1994 - January 11, 2001
FNB BROKERAGE SERVICES, INC.
April 17, 1991 - November 5, 1993
SANFORD C. BERNSTEIN & CO., INC.
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.
Highlighted states indicate IAR registrations
(9/10/2020)
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 |
|---|---|---|
| 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.
