John W. Mcauley
Professional summary
John W Mcauley, CIMA®, who also goes by John William Mcauley III, John W Mcauley III, John William Mcauley Iii, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina and STERLING CAPITAL DISTRIBUTORS, LLC located in Charlotte, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John W Mcauley's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 16, 2013 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209August 1, 2011 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209November 5, 2010 - September 16, 2011
OAK ASSOCIATES LTD
May 21, 2010 - May 26, 2011
ALPS DISTRIBUTORS, INC.
October 19, 2005 - December 11, 2008
WILLIAM BLAIR
October 18, 2005 - December 11, 2008
WILLIAM BLAIR
April 12, 2005 - September 20, 2005
BOFA ADVISORS, LLC
August 30, 2004 - April 12, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
August 30, 2004 - September 20, 2005
BOFA DISTRIBUTORS, INC.
November 18, 2003 - September 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 18, 2003 - September 2, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 2003 - August 18, 2003
BACAP DISTRIBUTORS, LLC
January 1, 2003 - August 18, 2003
BACAP DISTRIBUTORS, LLC
August 28, 2001 - January 1, 2003
STEPHENS
March 14, 2000 - January 1, 2003
STEPHENS
Primary Firm SEC Registration
STERLING CAPITAL MANAGEMENT LLC
CRD#: 135405 / SEC#: 801-64257
State Registrations and Notice Filings
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Visual representation of state registrations
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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.
