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Mary W. Fountain

STERLING CAPITAL MANAGEMENT LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 4504023
MF

Professional summary

Mary Weeks Fountain is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mary has worked at 4 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Power of Attorney for Mary Alice Weeks Fountain (mother) for investment accounts; monitor/buy/sell investments for mother; start date 9/21/2023; 1 hour per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Weeks Fountain'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

June 24, 2005 - Present

STERLING CAPITAL MANAGEMENT LLC

Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209
RIA
CRD#: 135405
Charlotte, NC
Past

February 27, 2008 - November 29, 2010

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
CHARLOTTE, NC
Past

April 16, 2002 - December 31, 2006

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

May 6, 1996 - June 10, 2005

STERLING CAPITAL MANAGEMENT LLC

RIA
CRD#: 107875
CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR
Florida
(6/27/2005)
IAR
North Carolina
(6/24/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/15/2002
Investment Company Products/Variable Contracts Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts3,535
AUM (Assets Under Management)$ 66,159,908,769

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

STERLING CAPITAL MANAGEMENT LLC

CRD#: 135405Charlotte, NC 28209

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