Sterling provides compliance, portfolio modeling, and financial planning for clients of Magnate Wealth Management. A native of Maysville, KY, he graduated from the University of Alabama with a Bachelor of Science in Finance and Economics.
Sterling most recently was a Financial Institutions Examiner for the Kentucky Division of Securities ensuring compliance among security firms with applicable state and federal laws and regulations. As an Examiner, he conducted complex investigations, discussed findings, and made recommendations for corrective actions. Other duties included identifying unfair, deceptive, abusive, discriminatory acts or practices and establishing guidelines for policies and procedures.
Sterling began his investment career in 2006 that included UBS Financial Services, New York Life, and Hilliard Lyons.
Professional Designations & Licenses
Series 66 – Uniform Combined
Series 63 – Uniform Securities Agent
Series 7 – General Securities Representative
Series 6 – Investment Company Products/Variable Contracts Representative
SIE – Securities Industry Essentials