STERNE AGEE ASSET MANAGEMENT INC
Legal name: STERNE AGEE ASSET MANAGEMENT
CRD #110408 SEC #801-32478 BIRMINGHAM, AL 205-414-3330
SEC Registered
Total AUM
$416.6M
Discretionary
$416.6M
Employees
6
Clients
0
Accounts
55
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Jan 25, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARZE, BRIAN, KEITH | I | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | NA | Control |
| BARZE, BRIAN, KEITH | I | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | NA | Control |
| BARZE, BRIAN, KEITH | I | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | NA | Control |
| BARZE, BRIAN, KEITH | I | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CUSTER, CYNTHIA, LOWER | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DEFUNIAK, ALBERT, FOX | I | DIRECTOR & CEO A/O 02/01/2003 | NA | Control |
| DEFUNIAK, ALBERT, FOX | I | DIRECTOR & CEO A/O 02/01/2003 | NA | Control |
| DEFUNIAK, ALBERT, FOX | I | DIRECTOR & CEO A/O 02/01/2003 | NA | Control |
| DELUCA, RONALD, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT & DIRECTOR | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT & DIRECTOR | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT & DIRECTOR | NA | Control |
| HARRIS, THOMAS, JERRY | I | PRESIDENT & DIRECTOR | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN | NA | Control |
| KENNEDY, CAROL, S | I | CHIEF COMPLIANCE OFFICER | NA | |
| KENNEDY, CAROL, S | I | CHIEF COMPLIANCE OFFICER | NA | |
| KENNEDY, CAROL, S | I | CHIEF COMPLIANCE OFFICER | NA | |
| KENNEDY, CAROL, S | I | CHIEF COMPLIANCE OFFICER | NA | |
| POOLE, JOHN, HERNDON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| POOLE, JOHN, HERNDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | DIRECTOR & CEO | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| SETON, JERRY, KENNETH | I | DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| WOODHAM, FRANKLIN, EUGENE | I | SECRETARY | NA | Control |
| STERNE AGEE GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE AGEE GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE AGEE GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE AGEE GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE, AGEE & LEACH GROUP, INC. | DE | 100% OWNER | E | Control |
Registrations
Federal
IA
Jan 25, 2012 REGISTERED
Notice Filings (8)
AL AR FL GA NJ OH OK TX
Address
800 SHADES CREEK PARKWAYSUITE 730
BIRMINGHAM, AL 35209
United States
Phone: 205-414-3330