# STERNE AGEE ASSET MANAGEMENT, INC.

STERNE AGEE ASSET MANAGEMENT, INC. of BIRMINGHAM, AL is an SEC-registered investment adviser.

## Registration

- CRD: 130888
- Type: SEC-registered investment adviser
- SEC file number: 801-63297
- Location: 2 PERIMETER PARK SOUTH, SUITE 100 EAST, BIRMINGHAM, AL, 35243
- Phone: 205-380-1700
- Latest filing: 2017-06-05
- Regulatory AUM: $10.4M
- Discretionary AUM: $10.4M
- Clients: 8
- Accounts: 99

## Officers, owners & control persons (28)

_Showing 25 of 28 people._

| Name | Role | Location |
| --- | --- | --- |
| Carter Don Wilson | DIRECTOR | Phoenix, AZ |
| CHAMBLESS ANDREW | CHIEF COMPLIANCE OFFICER | — |
| NEWTON JAMES TODD | DIRECTOR | — |
| SMITH LOYD BAXTER | MANAGING DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| WAGSTAFF CONNER FRED | CHIEF FINANCIAL OFFICER; SECRETARY AND TREASURER | — |
| HOLBROOK JAMES STIVENDER | CHAIRMAN; CHAIRMAN OF THE BOARD AND DIRECTOR; CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| KENNEDY CAROL S | CHIEF COMPLIANCE OFFICER | — |
| GLASGOW ROBERT MORRIS | MANAGING DIRECTOR; VICE PRESIDENT AND MANAGING DIRECTOR | — |
| RUCH WALTER ALLWEIN | PRESIDENT & CEO; PRESIDENT, CEO, DIRECTOR | — |
| FRANKEL CHRISTOPHER LEE | DIRECTOR | — |
| O'CONNOR SEAN MICHAEL | DIRECTOR | — |
| BARZE BRIAN KEITH | CHIEF FINANCIAL OFFICER, SECRETARY & TREASURER | — |
| RODGERS BRADFORD DOUGLAS | CHIEF COMPLIANCE OFFICER | — |
| DIXON JAMES FRANKLIN | DIRECTOR | — |
| GARRETT DANIEL LEE | CHIEF EXECUTIVE OFFICER; CHIEF OPERATIONS OFFICER | — |
| NGUYEN THOMAS THO | DIRECTOR | — |
| POOLE JOHN HERNDON | CHIEF COMPLIANCE OFFICER | — |
| CALVANO JOHN FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| SANDERSON JON BRIAN | CHIEF FINANCIAL OFFICER | — |
| WAINWRIGHT HAROLD LOWELL | DIRECTOR | — |
| RUCKER JOHN VINCENT | DIRECTOR | — |
| SIDES DAVID M | CHIEF OPERATIONS OFFICER | — |
| SPEEGLE DARYL TIMOTHY | CHIEF FINANCIAL OFFICER | — |
| DUNAWAY WILLIAM JOHN | DIRECTOR | — |
| HARROD PATRICIA MARIE | DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/130888/brochure
- Similar advisers: https://search.stillhousedata.com/firm/130888/similar
- Related entities: https://search.stillhousedata.com/firm/130888/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/130888

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.