TS
Timothy A. Sargent
STERLING CAPITAL MANAGEMENT LLC
Raleigh, NC 27601
Some features on this profile are disabled
CRD#: 2886168
TS
Professional summary
Timothy Andrew Sargent, who also goes by Timothy A Sargent, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Raleigh, North Carolina and STERLING CAPITAL DISTRIBUTORS, LLC located in Raleigh, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Timothy has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy A Sargent
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
STERLING CAPITAL MANAGEMENT, LLC; Investment Related; Registered Investment Advisor; Raleigh, NC; 01/2011; Client Development/Services ; Meet with financial advisors and educate them on Sterling Capital's investment offerings 160 Hrs/MO All During Security Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Andrew Sargent's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2012 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 434 Fayetteville Street Suite 500, Raleigh, NC 27601RIA
CRD#: 135405
Raleigh, NC
Current
May 7, 2007 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 434 Fayetteville Street Suite 500, Raleigh, NC 27601BD
CRD#: 103934
Raleigh, NC
Past
January 15, 2005 - October 28, 2010
BB&T ASSET MANAGEMENT, INC.
RIA
CRD#: 108443
RALEIGH, NC
Past
June 8, 2004 - April 30, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
January 13, 2003 - May 17, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
RIA
CRD#: 7110
DUBLIN, OH
Past
January 2, 2003 - May 17, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
January 4, 2002 - December 20, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
July 18, 2000 - November 23, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 6, 1997 - July 21, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT
CRD#: 135405 / SEC#: 801-64257
RIA
Registered Investment Advisory firm - (6/2/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/3/2017)
RR
Alaska(8/3/2017)
RR
Arizona(8/3/2017)
RR
Arkansas(8/3/2017)
RR
California(8/3/2017)
RR
Colorado(8/3/2017)
RR
Connecticut(8/3/2017)
RR
Delaware(4/22/2014)
RR
District of Columbia(8/17/2009)
RR
Florida(8/3/2017)
RR
Georgia(8/3/2017)
RR
Hawaii(8/3/2017)
RR
Idaho(8/3/2017)
RR
Illinois(8/3/2017)
RR
Indiana(8/3/2017)
RR
Iowa(8/3/2017)
RR
Kansas(8/3/2017)
RR
Kentucky(8/3/2017)
RR
Louisiana(8/3/2017)
RR
Maine(8/3/2017)
RR
Maryland(8/17/2009)
RR
Massachusetts(8/3/2017)
RR
Michigan(8/3/2017)
RR
Minnesota(8/3/2017)
RR
Mississippi(8/3/2017)
RR
Missouri(8/3/2017)
RR
Montana(8/3/2017)
RR
Nebraska(8/3/2017)
RR
Nevada(8/3/2017)
RR
New Hampshire(8/3/2017)
RR
New Jersey(8/3/2017)
RR
New Mexico(8/3/2017)
RR
New York(8/3/2017)
RR
North Carolina(5/7/2007)
IAR
North Carolina(1/19/2012)
RR
North Dakota(8/3/2017)
RR
Ohio(8/3/2017)
RR
Oklahoma(8/3/2017)
RR
Oregon(8/3/2017)
RR
Pennsylvania(8/17/2009)
RR
Rhode Island(8/3/2017)
RR
South Carolina(5/7/2007)
RR
South Dakota(8/3/2017)
RR
Tennessee(8/3/2017)
RR
Texas(8/3/2017)
RR
Utah(8/3/2017)
RR
Vermont(8/3/2017)
RR
Virginia(5/7/2007)
RR
Washington(8/3/2017)
RR
West Virginia(1/28/2013)
RR
Wisconsin(8/3/2017)
RR
Wyoming(8/3/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
STERLING CAPITAL MANAGEMENT LLC
DE GARMO & KELLEHER INVESTMENT COUNSEL | STERLING CAPITAL MANAGEMENT LLC | STERLING CAPITAL MANAGEMENT
CRD#: 135405 / SEC#: 801-64257
RIA
Registered Investment Advisory firm - (6/2/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4350 Congress Street Suite 1000, Charlotte, NC 28209
Mailing Address
Phone number
(704) 927-4175
Established
Firm type
Fiscal year end
# of Employees
182
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.
Company Information
STERLING CAPITAL MANAGEMENT LLC
CRD#: 135405Raleigh, NC 27601TRUST BUT VERIFY
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