RF
Reginald S. Ferguson
STERLING CAPITAL MANAGEMENT LLC
Charlotte, NC 28209
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CRD#: 7578873
RF
Professional summary
Reginald Shatavist Ferguson, who also goes by Reginald S Ferguson, Reginald Ferguson, Tavist Ferguson, 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.
Reginald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Reginald has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Reginald S Ferguson | Reginald Ferguson | Tavist Ferguson
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; Sales; Charlotte, NC; 04/2024; Associate Internal Client Strategist; Internal wholesaling registered mutual funds, ETFs, and SMAs; 160 Hrs/Mo 130Hr/Mo trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Reginald Shatavist Ferguson'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®
NoneExperience
Current
July 11, 2025 - Present
STERLING CAPITAL MANAGEMENT LLC
Office #1: 4350 Congress Street Suite 300, Charlotte, NC 28209RIA
CRD#: 135405
Charlotte, NC
Current
May 3, 2024 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209BD
CRD#: 103934
Charlotte, NC
Past
August 26, 2022 - April 19, 2024
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
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(5/3/2024)
RR
Alaska(5/3/2024)
RR
Arizona(5/3/2024)
RR
Arkansas(5/3/2024)
RR
California(5/3/2024)
RR
Colorado(5/3/2024)
RR
Connecticut(5/3/2024)
RR
Delaware(5/3/2024)
RR
District of Columbia(5/3/2024)
RR
Florida(5/3/2024)
RR
Georgia(5/3/2024)
RR
Hawaii(5/3/2024)
RR
Idaho(5/3/2024)
RR
Illinois(5/3/2024)
RR
Indiana(5/3/2024)
RR
Iowa(5/3/2024)
RR
Kansas(5/3/2024)
RR
Kentucky(5/3/2024)
RR
Louisiana(5/3/2024)
RR
Maine(5/3/2024)
RR
Maryland(5/3/2024)
RR
Massachusetts(5/3/2024)
RR
Michigan(5/3/2024)
RR
Minnesota(5/3/2024)
RR
Mississippi(5/3/2024)
RR
Missouri(5/3/2024)
RR
Montana(5/3/2024)
RR
Nebraska(5/3/2024)
RR
Nevada(5/3/2024)
RR
New Hampshire(5/3/2024)
RR
New Jersey(5/3/2024)
RR
New Mexico(5/3/2024)
RR
New York(5/3/2024)
RR
North Carolina(5/3/2024)
IAR
North Carolina(7/11/2025)
RR
North Dakota(5/3/2024)
RR
Ohio(5/3/2024)
RR
Oklahoma(5/3/2024)
RR
Oregon(5/3/2024)
RR
Pennsylvania(5/3/2024)
RR
Puerto Rico(5/3/2024)
RR
Rhode Island(5/3/2024)
RR
South Carolina(5/3/2024)
RR
South Dakota(5/3/2024)
RR
Tennessee(5/3/2024)
RR
Texas(5/3/2024)
RR
Utah(5/3/2024)
RR
Vermont(5/3/2024)
RR
Virgin Islands(5/3/2024)
RR
Virginia(5/3/2024)
RR
Washington(5/3/2024)
RR
West Virginia(5/3/2024)
RR
Wisconsin(5/3/2024)
RR
Wyoming(5/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/26/2022
General Securities Representative ExaminationGeneral 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.
