Katelyn Whalen, financial advisor Charlotte NC

Katelyn Whalen

CRD 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.

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Company Name Location Dates Years
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
Contact Info for Katelyn E. Whalen
Phone Number: 704-927-4175
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    56,889
    MILLIONS
  • Total Number of Accounts
    3,944
    ACCOUNTS
  • Average Account Value
    $14,424,174
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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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BADGES
Clean Record
This advisor has a clean track record with regulators.

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