Michael D. Herndon
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.
Michael David Herndon was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2017 - February 20, 2019
STERLING CAPITAL MANAGEMENT LLC
January 15, 2016 - February 19, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
May 26, 2011 - November 7, 2014
INVESTMENT PLANNERS, INC.
December 3, 2009 - May 25, 2011
MSC - BD, LLC
August 21, 2008 - November 6, 2008
PACER FINANCIAL, INC.
July 26, 2005 - May 21, 2008
GOLDMAN SACHS & CO. LLC
March 15, 2005 - August 9, 2005
BOFA ADVISORS, LLC
June 21, 2004 - June 7, 2005
BOFA DISTRIBUTORS, INC.
January 1, 2003 - March 17, 2005
BACAP DISTRIBUTORS, LLC
January 1, 2003 - June 21, 2004
BACAP DISTRIBUTORS, LLC
September 17, 2002 - January 1, 2003
STEPHENS
April 20, 2001 - January 1, 2003
STEPHENS
May 17, 2000 - April 30, 2001
FUNDS DISTRIBUTOR, LLC
December 9, 1999 - May 5, 2000
LPM INVESTMENT SERVICES, INC
March 18, 1998 - June 11, 1999
IVY DISTRIBUTORS, 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.
