Ami V. Shah

STERLING CAPITAL MANAGEMENT LLC | Financial Advisor

Charlotte, NC 28209

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CRD#: 3172047

Professional summary

Ami Vastupal Shah, who also goes by Ami Shah, 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.

Ami is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ami has worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ami Shah

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.

1). Sterling Capital Management LLC; Investment Related; Newtown, PA; Executive Director- Intermediary Platform Sales, National Accounts; Work with financial intermediaries and educate and place Sterling investment strategies; Start: 3/17/2025; 240 Hours Per Month 0 Hours During Trade 2) Montgomery Children Advocacy Project; Not Investment Related; Charitable Organization; Norristown, PA; 01/2021; Board Member; organization provide free legal service to children who are victims of abuse; 4 Hrs./Mo.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ami Vastupal Shah'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®

None

Experience

Current

May 7, 2025 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209

CRD#: 18353

NEW YORK, NY

Past

April 29, 2010 - December 31, 2011

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

September 19, 2008 - December 31, 2011

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 19, 2008 - December 31, 2011

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

August 24, 2006 - August 4, 2008

J.P. MORGAN INVESTMENT MANAGEMENT INC.

CRD#: 6321

MINNEAPOLIS, MN

Past

February 26, 1999 - March 7, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

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

Alabama
(5/2/2025)

Alaska
(5/2/2025)

Arizona
(5/2/2025)

Arkansas
(5/2/2025)

California
(5/2/2025)

Colorado
(5/2/2025)

Connecticut
(5/2/2025)

Delaware
(5/2/2025)

District of Columbia
(5/2/2025)

Florida
(5/2/2025)

Georgia
(5/2/2025)

Hawaii
(5/2/2025)

Idaho
(5/2/2025)

Illinois
(5/2/2025)

Indiana
(5/2/2025)

Iowa
(5/2/2025)

Kansas
(5/2/2025)

Kentucky
(5/2/2025)

Louisiana
(5/2/2025)

Maine
(5/2/2025)

Maryland
(5/2/2025)

Massachusetts
(5/2/2025)

Michigan
(5/2/2025)

Minnesota
(5/2/2025)

Mississippi
(5/2/2025)

Missouri
(5/2/2025)

Montana
(5/2/2025)

Nebraska
(5/2/2025)

Nevada
(5/2/2025)

New Hampshire
(5/2/2025)

New Jersey
(5/2/2025)

New Mexico
(5/2/2025)

New York
(5/2/2025)

North Carolina
(5/2/2025)

IAR

North Carolina
(5/12/2025)

North Dakota
(5/2/2025)

Ohio
(5/5/2025)

Oklahoma
(5/2/2025)

Oregon
(5/2/2025)

Pennsylvania
(5/2/2025)

IAR

Pennsylvania
(5/7/2025)

Puerto Rico
(5/2/2025)

Rhode Island
(5/2/2025)

South Carolina
(5/2/2025)

South Dakota
(5/2/2025)

Tennessee
(5/2/2025)

Texas
(5/2/2025)

Utah
(5/2/2025)

Vermont
(5/2/2025)

Virgin Islands
(5/2/2025)

Virginia
(5/2/2025)

Washington
(5/2/2025)

West Virginia
(5/2/2025)

Wisconsin
(5/2/2025)

Wyoming
(5/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/2017

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Ami V. Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ami Vastupal Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING CAPITAL DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC.

JPMORGAN DISTRIBUTION SERVICES, INC.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

ROBERT FLEMING INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CITIGROUP GLOBAL MARKETS INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STERLING CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2002

Series 63

Date: 3/23/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1999

Series 24

Date: 4/27/2017

FINRA

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

Contact information

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