Sterne Agee Investment Advisor Services, Inc. (Birmingham)

Name: Sterne Agee Investment Advisor Services, Inc.
Address: 2 Perimeter Park South, Birmingham, AL, 35243
Telephone: 205-414-3367

Sterne Agee Investment Advisor Services, Inc. is a large advisory firm based in Birmingham. It manages $1.1 billion of regulatory assets for 6,141 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 41 other states.

Sterne Agee Investment Advisor Services provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, market timing services, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sterne Agee Investment Advisor Services: assets under management

The assets under management (AUM) of Sterne Agee Investment Advisor Services, Inc. is $1.1 billion. The firm's AUM has grown by 138% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $484.1 million in discretionary accounts and $617.69 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $155.81 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $203.59 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sterne Agee Investment Advisor Services, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sterne Agee Investment Advisor Services, Inc.

William John Dunaway has been acting as President since 1 Aug 2016. Patricia Marie Harrod joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Richard Jr Pintaric	Chief compliance officer	1 Jan 1986	Other	724808
William Richard Pintaric	Chairman emeritas	1 Jan 2003	Other	363876
David Michael Pintaric	President	1 Jan 2003	Other	1605115
Inc. Sterne Agee Financial Services	Owner	1 Jul 2014	75% - 100%	18456
Walter Allwein Ruch	Chief executive officer	1 Sep 2014	Other	2761014
Marcus Bryant Richardson	Chief operations officer	1 Sep 2014	Other	3037932
Conner Fred Wagstaff	Chief financial officer	1 Sep 2014	Other	1427591
William Richard Pintaric	Chief compliance officer	1 Sep 2014	Other	724808
Inc. Sterne Agee Group	100% owner	1 Sep 2014	75% - 100%	63-1175904
Nicolaus & Company Incorporated Stifel	100% owner	1 May 2015	75% - 100%	793
Stifel Financial Corp.	100% owner	1 Jun 2015	75% - 100%	43-1273600
Jay Wilson Carter	Chief executive officer	1 Dec 2015	Other	2412541
Intl Fcstone Inc	100% owner	1 Jul 2016	75% - 100%	59-2921318
William John Dunaway	Director	1 Aug 2016	Other	6505923
Patricia Marie Harrod	Director	1 Aug 2016	Other	6180887
Charles Martin Lyon	Director	1 Aug 2016	Other	4000852
Xuong Tho Nguyen	Director	1 Aug 2016	Other	2249867
Sean Michael O'connor	Director	1 Aug 2016	Other	2534352
Brian Trigger Sephton	Director	1 Aug 2016	Other	4141441

Based in Birmingham

The principal office where Sterne Agee Investment Advisor Services, Inc. performs its advisory services is located at 2 Perimeter Park South, Birmingham, AL 35243, which is also the mailing address of the firm. An additional office of the firm is in Garfield Heights, OH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 205-414-3367 or by fax 205-949-3502. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at wrpinvestments.com.