STERNE, AGEE & LEACH, INC.
Legal name: STERNE AGEE & LEACH, INC. CAPITAL MANAGEMENT
CRD #791 SEC #801-60617 BIRMINGHAM, AL 205-949-3500
SEC Registered Broker-Dealer
Total AUM
$174.2M
Discretionary
$155M
Employees
10
Clients
0
Accounts
809
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Oct 20, 2005
- 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 |
|---|---|---|---|---|
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| BUKOLT, EARL DAVID | I | CHIEF OPERATIONS OFFICER AND MANAGING DIRECTOR | NA | Control |
| CATLETT, CHARLES HUTCHESON | I | CHIEF COMPLIANCE OFFICER SROP & CROP | NA | |
| CATLETT, CHARLES HUTCHESON | I | CHIEF COMPLIANCE OFFICER SROP & CROP | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | Control |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | Control |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DANIEL, LINDA MCWHIRTER | I | MANAGING DIRECTOR | NA | |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | SROP/CROP | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DELUCA, RONALD GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOGAN, PATRICK SHAWN | I | FIN OP | NA | Control |
| DOGAN, PATRICK SHAWN | I | FIN OP | NA | Control |
| DOGAN, PATRICK SHAWN | I | FIN OP | NA | Control |
| DOGAN, PATRICK SHAWN | I | FIN OP | NA | Control |
| DOGAN, PATRICK SHAWN | I | FIN OP | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | MANAGING DIRECTOR | NA | Control |
| GLASGOW, ROBERT MORRIS III | I | MANAGING DIRECTOR | NA | |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| HOLBROOK, JAMES STIVENDER JR | I | C HAIRMAN PRESIDENT & CEO | NA | Control |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | Control |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | Control |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LEE, ALONZO HESTER JR | I | MANAGING DIRECTOR | NA | |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | Control |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | Control |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | Control |
| LOVELL, WILLIAM TAYLOR | I | MANAGING DIRECTOR | NA | Control |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| NEWTON, JAMES TODD | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | Control |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | Control |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| ROBERTS, JOE ROBERT JR | I | MANAGING DIRECTOR | NA | |
| SMITH, LOYD BAXTER JR | I | MANAGING DIRECTOR | NA | |
| SMITH, LOYD BAXTER JR | I | MANAGING DIRECTOR | NA | |
| SMITH, LOYD BAXTER JR | I | MANAGING DIRECTOR | NA | |
| SMITH, LOYD BAXTER JR | I | MANAGING DIRECTOR | NA | |
| SMITH, LOYD BAXTER JR | I | MANAGING DIRECTOR | NA | |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WHITE, CHARLES ROYAL JR | I | MANAGING DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY DIRECTOR & CFO | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY DIRECTOR & CFO | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | Control |
| WOODHAM, FRANKLIN EUGENE | I | SECRETARY AND DIRECTOR | NA | 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 |
Registrations
Federal
IA
Oct 20, 2005 REGISTERED
Notice Filings (15)
AL AR FL GA KS KY LA MS NC OH OK PA SC TX WA
Address
800 SHADES CREEK PARKWAYSUITE 700
BIRMINGHAM, AL 35209
USA
Phone: 205-949-3500