STERNE AGEE ASSET MANAGEMENT, INC.
CRD #130888 SEC #801-63297 BIRMINGHAM, AL 205-380-1700
SEC Registered
Total AUM
$10.4M
Discretionary
$10.4M
Employees
8
Clients
1
Accounts
99
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Jun 5, 2017
- Branch Offices
- --
- LEI
- N/A
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, ELIZABETH, GILTZ | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| ANDERSON, ELIZABETH, GILTZ | I | CHIEF EXECUTIVE OFFICER | 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 |
| 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 |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CALVANO, JOHN, FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| CARTER, JAY, WILSON | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DIXON, JAMES, FRANKLIN | I | DIRECTOR | NA | Control |
| DUNAWAY, WILLIAM, JOHN | I | DIRECTOR | NA | Control |
| DUNAWAY, WILLIAM, JOHN | I | DIRECTOR | NA | Control |
| DUNAWAY, WILLIAM, JOHN | I | DIRECTOR | NA | Control |
| DUNAWAY, WILLIAM, JOHN | I | DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER, LEE | I | DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER, LEE | I | DIRECTOR | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GARRETT, DANIEL, LEE | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| GLASGOW, ROBERT, MORRIS | I | VICE PRESIDENT AND MANAGING DIRECTOR | NA | |
| GLASGOW, ROBERT, MORRIS | I | VICE PRESIDENT AND MANAGING DIRECTOR | NA | Control |
| GLASGOW, ROBERT, MORRIS | I | VICE PRESIDENT AND MANAGING DIRECTOR | NA | |
| GLASGOW, ROBERT, MORRIS | I | VICE PRESIDENT AND MANAGING DIRECTOR | NA | |
| GLASGOW, ROBERT, MORRIS | I | VICE PRESIDENT AND MANAGING DIRECTOR | NA | |
| HARROD, PATRICIA, MARIE | I | DIRECTOR | NA | Control |
| HARROD, PATRICIA, MARIE | I | DIRECTOR | NA | Control |
| HARROD, PATRICIA, MARIE | I | DIRECTOR | NA | Control |
| HARROD, PATRICIA, MARIE | I | DIRECTOR | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| HOLBROOK, JAMES, STIVENDER | I | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 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 | |
| LYON, CHARLES, MARTIN | I | DIRECTOR | NA | Control |
| LYON, CHARLES, MARTIN | I | DIRECTOR | NA | Control |
| LYON, CHARLES, MARTIN | I | DIRECTOR | NA | Control |
| LYON, CHARLES, MARTIN | I | DIRECTOR | NA | Control |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | Control |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NEWTON, JAMES, TODD | I | DIRECTOR | NA | |
| NGUYEN, XUONG, THO | I | DIRECTOR | NA | Control |
| NGUYEN, XUONG, THO | I | DIRECTOR | NA | Control |
| NGUYEN, XUONG, THO | I | DIRECTOR | NA | Control |
| NGUYEN, XUONG, THO | I | DIRECTOR | NA | Control |
| O'CONNOR, SEAN, MICHAEL | I | DIRECTOR | NA | Control |
| O'CONNOR, SEAN, MICHAEL | I | DIRECTOR | NA | Control |
| O'CONNOR, SEAN, MICHAEL | I | DIRECTOR | NA | Control |
| O'CONNOR, SEAN, MICHAEL | I | DIRECTOR | NA | Control |
| 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 |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RODGERS, BRADFORD, DOUGLAS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT & CEO | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCH, WALTER, ALLWEIN | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| RUCKER, JOHN, VINCENT | I | DIRECTOR | NA | Control |
| SANDERSON, JON, BRIAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANDERSON, JON, BRIAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANDERSON, JON, BRIAN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEPHTON, BRIAN, TRIGGER | I | DIRECTOR | NA | Control |
| SEPHTON, BRIAN, TRIGGER | I | DIRECTOR | NA | Control |
| SEPHTON, BRIAN, TRIGGER | I | DIRECTOR | NA | Control |
| SEPHTON, BRIAN, TRIGGER | I | DIRECTOR | NA | Control |
| SIDES MR., DAVID M | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SIDES, DAVID M. | I | CHIEF OPERATIONS OFFICER | NA | Control |
| SMITH, LOYD, BAXTER | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, LOYD, BAXTER | I | MANAGING DIRECTOR | NA | Control |
| SMITH, LOYD, BAXTER | I | MANAGING DIRECTOR | NA | Control |
| SPEEGLE, DARYL, TIMOTHY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SPEEGLE, DARYL, TIMOTHY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SPEEGLE, DARYL, TIMOTHY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | SECRETARY AND TREASURER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | SECRETARY AND TREASURER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | SECRETARY AND TREASURER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | SECRETARY AND TREASURER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | SECRETARY AND TREASURER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAGSTAFF, CONNER, FRED | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WAINWRIGHT, HAROLD, LOWELL | I | DIRECTOR | NA | Control |
| WAINWRIGHT, HAROLD, LOWELL | I | DIRECTOR | NA | Control |
| INTL FCSTONE INC | DE | 100% OWNER | E | Control |
| INTL FCSTONE INC | DE | 100% OWNER | E | Control |
| INTL FCSTONE INC | DE | 100% OWNER | E | Control |
| INTL FCSTONE INC | DE | 100% OWNER | E | Control |
| INTL FCSTONE INC | DE | 100% OWNER | E | Control |
| INTL FCSTONE 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 |
| 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 GROUP, INC. | DE | 100% OWNER | E | Control |
| STERNE AGEE GROUP, INC. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL FINANCIAL CORP. | DE | 100% OWNER | E | Control |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | DE | 100% OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
| HOLBROOK, JAMES, STIVENDER | I | STERNE AGEE & LEACH GROUP INC. | C | Control |
Registrations
Federal
IA
Jun 5, 2017 REGISTERED
Notice Filings (46)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MO MS MT NC NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VI WA WI
Address
2 PERIMETER PARK SOUTHSUITE 100 EAST
BIRMINGHAM, AL 35243
United States
Phone: 205-380-1700