Career
Charles Durham has been Managing Director, Chief Compliance Officer of Sterling Capital Management since June 2018. Charles Durham is a control person of the firm and directly owns under 5% of it. Charles Durham holds a B.A. in Policy Studies — Syracuse University and an M.B.A. in Finance — Fordham University.
Sterling Capital Management LLC is a Charlotte, NC firm with $69.2B under management, 3,508 clients and 64 advisers across 11 offices, as of its July 2026 filing.
Sterling Capital says Durham joined in 2018 after compliance work at Brown Brothers Harriman, AIG Asset Management and Smith Barney.
- Citigroup Global Markets Inc.– · 3 yearsNew York, NM · Adviser representative · Firm CRD 7059
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 August 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 1 February 2005 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 14 October 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 October 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 June 2003 |
| Series 7 | General Securities Representative Examination | 21 April 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Charles Arnold Durham
- CRD
- 4645491
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Charles Durham work?
Charles Durham has been Managing Director, Chief Compliance Officer of Sterling Capital Management LLC since June 2018, and is a control person of the firm.
Does Charles Durham have a current investment-adviser registration?
Charles Durham has a current broker registration and no current investment-adviser registration.
What exams has Charles Durham passed?
Charles Durham has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 9, Series 10 and Series 24. The earliest, the Series 7, was passed in April 2003. FINRA credited Charles Durham with the SIE, which began in October 2018.
Where was Charles Durham previously registered as an investment adviser?
Charles Durham has past investment-adviser registrations through Citigroup Global Markets Inc., October 2003 to June 2007, across 1 firm.