Our Partnership With SA Stone Wealth Management Inc.
As a part of our process, we have chosen to partner with SA Stone Wealth Management to ensure we can offer our clients financial planning advice and solutions second to none.
With SA Stone Wealth Management as our partner, we can also ensure our financial planning practice is able to deliver exceptional client service and, at the same time, allow us to access the broad range of expertise required to plan, implement and monitor our financial planning approach.
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.
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 StoneX (SNEX). StoneX 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. StoneX'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.
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.