Unclaimed Profile

Thomas John Portz

STERLING CAPITAL MANAGEMENT INC·BROOKFIELD, Wisconsin

SIE, Series 3, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 63CFPClean record28 years registeredSTERLING CAPITAL MANAGEMENT INC

17160 W. NORTH AVE, BROOKFIELD, WI 53005CRD# 1218627Firm CRD# 106822

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas John Portz · BROOKFIELD, WI

Registration

CRD #1218627 · STERLING CAPITAL MANAGEMENT INC · 28 years registered

Brand Profile

Not yet started

Career History

STERLING CAPITAL MANAGEMENT INC

Nov 1997 – present

WATERSTONE FINANCIAL GROUP, INC.

Jun 2003 – Aug 2009

WAUKESHA, WI

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 63

Registration record

First registered · November 7, 1997

Years registered · 28

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STERLING CAPITAL MANAGEMENT INC

CRD 106822 · SEC 801-54107

AUM

$214M

Regulatory assets under management

Employees

388 client accounts

Services offered by STERLING CAPITAL MANAGEMENT INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

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Introduction

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Frequently Asked Questions

What services does Thomas John Portz offer?

Thomas John Portz specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BROOKFIELD, Wisconsin for a consultation.

What are Thomas John Portz's credentials?

Thomas John Portz holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Thomas John Portz located?

Thomas John Portz is based in BROOKFIELD, Wisconsin, working with STERLING CAPITAL MANAGEMENT INC. Their office serves clients in the BROOKFIELD metropolitan area and surrounding communities.

How does Thomas John Portz charge for services?

Thomas John Portz's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STERLING CAPITAL MANAGEMENT INC?

STERLING CAPITAL MANAGEMENT INC has approximately 3 employees and manages $214M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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