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Sterne Agee Asset Management, Inc.

Sterne Agee Asset Management, Inc.
Sterne Agee Asset Management, Inc. is a RIA based in Birmingham, AL with $2B in AUM and with 270 advisors nationwide.

Advisors (270)

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Name Start Date
Eric Christopher Sides Dec 2010
Thomas Quentin Cannon Apr 2013
Laurence Buell Tipton Dec 2008
Christopher Louis Lappas Oct 2013
Harold Dudley Shollmier Mar 2005
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$2.0B
Total Assets
8K
Accounts
$255.3K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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  •   Sterne Agee & Leach Group Inc. (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Walter Allwein Ruch President, CEO, Director 04/01/2007
Jay Wilson Carter Director 12/01/2008
James Franklin Dixon Director 12/01/2008
Daniel Lee Garrett Chief Operations Officer 07/01/2010
Brian Keith Barze Chief Financial Officer, Secretary & Treasurer 10/01/2009

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
800 Shades Creek Parkway
Birmingham , AL 35209
Phone Number: 205-380-1700
Other Offices Address City State Zip
33 Bull Street Savannah GA 31401
412 Georgia Avenue Chattanooga TN 37403
2800 Dauphin Street Mobile AL 36606
670 South Perry Street Montgomery AL 36104
11300 Cantrell Road Little Rock AR 72212
800 Shades Creek Parkwaysuite 500 Birmingham AL 35209

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees