Leigh A. Pulse
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.
Leigh Anne Pulse, who also goes by Leigh Anne Williams, was a registered financial professional .
Leigh is a previously registered financial professional and started their career in finance in 1993. Leigh had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2012 - July 15, 2019
STERLING CAPITAL MANAGEMENT LLC
June 1, 2007 - October 28, 2010
BB&T ASSET MANAGEMENT, INC.
May 18, 2007 - April 1, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
August 14, 2002 - April 30, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
December 7, 2001 - August 13, 2002
UBS FINANCIAL SERVICES INC.
May 1, 1995 - December 14, 2001
BANC ONE SECURITIES CORPORATION
November 19, 1993 - January 3, 1994
FIRST UNION BROKERAGE SERVICES, 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.
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 |
|---|---|---|
| 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.
