Orton Chen

STERLING CAPITAL MANAGEMENT LLC

Charlotte, NC 28209

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CRD#: 3049077

Professional summary

Orton Chen, CFA, who also goes by Orton Chen Mr., is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina.

Orton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Orton has worked at 7 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Orton Chen Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Orton Chen's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

March 3, 2022 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209

RIA

CRD#: 135405

Charlotte, NC

Past

April 24, 2019 - October 1, 2019

WEDGE CAPITAL MANAGEMENT LLP

RIA

CRD#: 106234

CHARLOTTE, NC

Past

October 4, 2013 - March 29, 2019

WEDGE CAPITAL MANAGEMENT LLP

RIA

CRD#: 106234

CHARLOTTE, NC

Past

January 14, 2008 - June 11, 2009

PINNACLE ASSOCIATES, LTD.

RIA

CRD#: 110631

NEW YORK, NY

Past

September 30, 2004 - October 12, 2005

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

February 15, 2002 - July 15, 2002

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

August 2, 2000 - July 3, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 21, 1999 - June 26, 2000

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CRD#: 24074

NEW YORK, NY

Past

August 21, 1998 - June 11, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 10/21/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/14/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/18/1998

General Securities Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STERLING CAPITAL MANAGEMENT ADV 2A_MARCH 26, 2025 (3/26/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/28/2023	Cover Page	Report

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.

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Orton Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Orton Chen's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDGE CAPITAL MANAGEMENT LLP

WEDGE CAPITAL MANAGEMENT LLP

PINNACLE ASSOCIATES, LTD.

LADENBURG THALMANN & CO. INC.

LADENBURG THALMANN & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

STERLING CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2008

Series 63

Date: 2/4/2005

Series 86

Date: 10/21/2004

Series 87

Date: 10/14/2004

Series 7

Date: 8/18/1998

Current Firm

STERLING CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STERLING CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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