Rebecca V. Patel

STERLING CAPITAL MANAGEMENT LLC

Raleigh, NC 27601

Some features on this profile are disabled

CRD#: 4147457

Professional summary

Rebecca Velena Patel, who also goes by Rebecca Velena Pendel, 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.

Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rebecca has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rebecca Velena Pendel

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; Raleigh, NC; Investment Related; Start Date 04/2001; Registered Investment Advisor; Executive Director, Deputy CCO; Assist with the oversight of the compliance program of the advisor and registered investment companies; 240 hours a month; 160 hours a month trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Velena Patel'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

January 18, 2012 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 434 Fayetteville Street Suite 500, Raleigh, NC 27601

RIA

CRD#: 135405

Raleigh, NC

Current

August 1, 2007 - Present

STERLING CAPITAL DISTRIBUTORS, LLC

Office #1: 434 Fayetteville Street Suite 500, Raleigh, NC 27601

CRD#: 103934

Raleigh, NC

Past

August 2, 2005 - April 30, 2007

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

July 28, 2003 - October 28, 2010

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

RALEIGH, NC

Past

April 11, 2001 - December 31, 2003

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

May 9, 2000 - April 5, 2001

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, 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.

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

North Carolina
(8/1/2007)

IAR

North Carolina
(1/18/2012)

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 66

Date: 7/25/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2000

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rebecca V. Patel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Velena Patel's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

BB&T ASSET MANAGEMENT, INC.

BB&T INVESTMENT SERVICES, INC.

HARRISDIRECT LLC

Primary Firm SEC Registration

STERLING CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2003

Series 63

Date: 6/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2000

Series 24

Date: 12/11/2000

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

Similar Advisors