What is a broker/dealer?
A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose one, and only one, broker/dealer to partner with on your behalf.
Why I chose SA Stone Wealth Management Inc.?
Although I began my relationship with SA Stone Wealth Management Inc. (formerly Sterne Agee) in 2009, the firm itself was founded in 1901. After being privately owned for over a century, SA Stone Wealth Management Inc. is now owned by INTL FCStone. INTL FCStone is a global, Fortune 500 financial services organization relied upon by thousands of companies around the world for a wide array of services, including: asset management; equities market-making; securities execution and trading; advisory services; physical trading in precious metals and grains; a global foreign exchange and currency payment services. INTL's customers include: brokers; professional traders; commercial banks; major investment banks; institutional investors; the producers, processors and end users of virtually every major traded commodity; commercial counter-parties; and governmental, non-governmental and charitable organizations.
SA Stone Wealth Management Inc.goes far beyond what’s required of a broker/dealer; the entire organization is built around helping advisors do whatever it takes to serve their clients. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for Headwater Asset Management to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
If you’d like to know more
We’d be glad to talk with you further or answer any questions you may have about our relationship with SA Stone Wealth Management Inc. Please feel free to give us a call.
Today, we have offices throughout the Southeast, with headquarters in Birmingham, Alabama. But we are more than a regional firm; we help more than 140,000 clients across all 50 states thrive. Our professionals manage more than $17 billion in assets.
Sterne Agee Group, Inc.; Sterne Agee Asset Management, Inc.; Sterne Agee Investment Advisors, Inc.; and The Trust Company of Sterne Agee, Inc. are not registered Broker-Dealers.
Sterne, Agee & Leach, Inc.; Sterne Agee Clearing, Inc.; and Sterne Agee Financial Services, Inc. are registered Broker-Dealers and are members of FINRA and the Securities Investor Protection Corporation (SIPC).