WS
Whitney L. Stewart
STERLING CAPITAL MANAGEMENT LLC
Charlotte, NC 28209
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CRD#: 4897483
WS
Professional summary
Whitney Lawrence Stewart, CFA, who also goes by Whitney L Stewart, is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT LLC located in Charlotte, North Carolina and STERLING CAPITAL DISTRIBUTORS, LLC located in King Of Prussia, Pennsylvania.
Whitney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Whitney has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Whitney L Stewart
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.
Sterling Capital Management LLC; Investment Related, Deveon, PA, Manage Portfolios of equity, Client Portfolio Manager/Executive Director, Client Portfolio Manager, Communicate philosophy, process, positioning and outlook of equity with clients and prospects, 160hrs per month, 130hrs per month trading, 2018-08-15
CRS (Client Relationship Summary) - RIA
Click below to view Whitney Lawrence Stewart's 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®
Experience
Current
October 5, 2018 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209RIA
CRD#: 135405
Charlotte, NC
Current
September 28, 2018 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 150 South Warner Road Suite 201, King Of Prussia, PA 19406BD
CRD#: 103934
King of Prussia, PA
Past
June 13, 2018 - August 23, 2018
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
September 27, 2007 - February 21, 2013
FISHER INVESTMENTS
RIA
CRD#: 107342
WOODSIDE, CA
Past
September 8, 2005 - August 28, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHARLOTTE, NC
Past
July 25, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 25, 2005 - August 28, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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.RR
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
RR
Alabama(9/28/2018)
RR
Alaska(9/28/2018)
RR
Arizona(9/28/2018)
RR
Arkansas(9/28/2018)
RR
California(9/28/2018)
RR
Colorado(9/28/2018)
RR
Connecticut(9/28/2018)
RR
Delaware(9/28/2018)
RR
District of Columbia(9/28/2018)
RR
Florida(9/28/2018)
RR
Georgia(9/28/2018)
RR
Hawaii(9/28/2018)
RR
Idaho(9/28/2018)
RR
Illinois(9/28/2018)
RR
Indiana(9/28/2018)
RR
Iowa(9/28/2018)
RR
Kansas(9/28/2018)
RR
Kentucky(9/28/2018)
RR
Louisiana(9/28/2018)
RR
Maine(9/28/2018)
RR
Maryland(9/28/2018)
RR
Massachusetts(9/28/2018)
RR
Michigan(9/28/2018)
RR
Minnesota(9/28/2018)
RR
Mississippi(9/28/2018)
RR
Missouri(9/28/2018)
RR
Montana(9/28/2018)
RR
Nebraska(9/28/2018)
RR
Nevada(9/28/2018)
RR
New Hampshire(9/28/2018)
RR
New Jersey(9/28/2018)
RR
New Mexico(9/28/2018)
RR
New York(9/28/2018)
RR
North Carolina(10/2/2018)
IAR
North Carolina(10/5/2018)
RR
North Dakota(9/28/2018)
RR
Ohio(9/28/2018)
RR
Oklahoma(9/28/2018)
RR
Oregon(9/28/2018)
RR
Pennsylvania(9/28/2018)
IAR
Pennsylvania(10/5/2018)
RR
Rhode Island(9/28/2018)
RR
South Carolina(9/28/2018)
RR
South Dakota(9/28/2018)
RR
Tennessee(9/28/2018)
RR
Texas(9/28/2018)
RR
Utah(9/28/2018)
RR
Vermont(9/28/2018)
RR
Virginia(9/28/2018)
RR
Washington(9/28/2018)
RR
West Virginia(9/28/2018)
RR
Wisconsin(9/28/2018)
RR
Wyoming(9/28/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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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)
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.
