Katelyn WhalenCRD Number: 5858638
Current Firm: Sterling Capital Management LLC
Katelyn Whalen (CRD# 5858638) is an Investment Advisor Representative working at Sterling Capital Management LLC in Charlotte, NC and has over 5 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Sterling Capital Distributors||Raleigh, NC||Jan 2017 - Current||2|
|Sterling Capital Management LLC||Raleigh, NC||Dec 2016 - Current||2|
|Columbia Management Investment Distributors Inc.||Boston, MA||Oct 2013 - Dec 2016||3|
|Dentaquest||Charlestown, MA||Mar 2013 - Oct 2013||< 1|
|Health New England||Springfield, MA||Dec 2010 - Mar 2013||2|
|Retiree Financial Services||South Hadley, MA||Jun 2010 - Dec 2010||< 1|
|Saint Anselm College||Manchester, NH||Sep 2006 - May 2010||3|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Feb 2014|
|S63||Uniform Securities State Law Examination||Oct 2013|
Total Assets Under Management56,889MILLIONS
Total Number of Accounts3,944ACCOUNTS
Average Account Value$14,424,174
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, CT, DC, DE, FL, GA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV
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