Margaret M. Oleary
Professional summary
Margaret Mary Oleary, who also goes by Margaret M Franz, Margaret Mary Franz, Mimi Franz, Margaret Mary O'leary, Mimi O'leary, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina and STERLING CAPITAL DISTRIBUTORS, LLC located in Inverness, Illinois.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Margaret has worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Mary Oleary's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2017 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209January 6, 2017 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
February 2, 2016 - October 26, 2016
CHESTERBROOK CAPITAL
February 10, 2015 - January 14, 2016
CEDAR CAPITAL, LLC
November 10, 2014 - January 12, 2016
FORESIDE FUND SERVICES, LLC
June 6, 2013 - January 2, 2015
GOOD HARBOR FINANCIAL
March 18, 2013 - November 11, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 11, 2012 - March 8, 2013
TRANSAMERICA CAPITAL, LLC
October 12, 2009 - December 8, 2011
VOYA INVESTMENT MANAGEMENT CO. LLC
October 12, 2009 - December 8, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 5, 2009 - October 16, 2009
ADVISORS ASSET MANAGEMENT, INC.
May 1, 2009 - October 16, 2009
ADVISORS ASSET MANAGEMENT, INC.
July 29, 2008 - January 6, 2009
UBS FINANCIAL SERVICES INC.
July 29, 2008 - January 6, 2009
UBS FINANCIAL SERVICES INC.
April 4, 2005 - July 22, 2008
BOFA ADVISORS, LLC
August 26, 2004 - April 4, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
June 21, 2004 - July 22, 2008
BOFA DISTRIBUTORS, INC.
January 1, 2003 - June 21, 2004
BACAP DISTRIBUTORS, LLC
September 6, 2002 - January 1, 2003
STEPHENS
March 1, 1999 - January 1, 2003
STEPHENS
November 6, 1996 - February 19, 1999
FIDELITY BROKERAGE SERVICES LLC
August 30, 1995 - November 6, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
May 13, 1993 - August 30, 1995
FIDELITY BROKERAGE SERVICES LLC
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
(1/6/2017)
(1/17/2017)
(1/6/2017)
(8/26/2020)
(1/6/2017)
(8/26/2020)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(1/18/2017)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(8/26/2020)
(8/26/2020)
Exams
FINRA
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.
