Sterne, Agee & Leach Inc. provides networking and FundServ capabilities.  While most mutual funds require Introducing Broker Dealers to have individual sales agreements, Sterne Agee maintains networking relationships with most major fund families.  (check with prospectus requirements of each fund family with whom your firm conducts business).  Through our omnibus arrangement, your clients enjoy a consolidated monthly statement of all mutual fund positions. 

Dividend reinvestment plan – DRIP.  Sterne, Agee & Leach offers dividend reinvestment for dividend paying equity securities held in street name.

Sterne, Agee & Leach, Inc, being an IRS approved IRA Custodian, provides custody services for IRA accounts and through our affiliated Trust Company we also provide Trustee services for:

• SEP-IRAs and KEOGHS

• 401 (K) Plans

• Defined Contribution Plans

OTC Equity Trading/Market Making

Sterne, Agee & Leach is one of the few firms that makes a commitment to our correspondents by having a trading desk located in the Southeast. Our trading capabilities include principal market making in approximately 85 NASDAQ common, preferred, and convertible securities, as well as extensive dealer relationships for agency business. Exchange listed executions are automated via state-of-the-art technology.

Listed Securities

Sterne Agee & Leach is a member of the NYSE and has execution capabilities on all major exchanges and directs orders to market makers and ECN's through our state of the art Order Routing System.

Options

Sterne Agee & Leach Inc., routes option orders to a primary option exchanges and uses the floor personnel of Merrill Lynch Option execution services.

Fixed Income Trading

Sterne Agee & Leach Inc. provides a fixed income trading desk for the exclusive use of our Introducing Broker Dealers.  Trained, courteous professionals will assist you in locating best bids and offers for municipal as well as corporate offerings.

Proprietary Research.  At Sterne, Agee & Leach we understand that we can’t be all things to all people. Accordingly, we have built, and continue to strengthen, our research department on the philosophy of quality over quantity. Currently, we retain a staff of seven senior equity analysts and three associate analysts. This team has developed a unique insight into specific industries within our region, supplemented by generational relationships with certain key companies. Areas of emphasis include: financial institutions, healthcare, telecommunications, technology, and special situations. Our correspondent Introducing Broker Dealers enjoy a solid relationship with our analysts, through direct contact, not through a research liaison.

Our research department delivers superior written and electronic institutional/retail research that our correspondent Introducing Broker Dealers find not only valuable but easy to read. Our correspondents receive this research online to keep them, and their clients, abreast of breaking events. We offer company, industry-specific and general market commentary. This commentary helps guide our correspondents through the changing currents of the Southeast’s environment, industries, specific companies, and the general marketplace.

Correspondent Research.  We have packaged a complete suite of outside research products that are available to our correspondent broker dealers online each business day.  For more information contact the SAL Marketing division at 800-264-4863 or visit our website at www.salclearing.com.

Our publication called "Sterne Selections" is a timely compilation of common stocks chosen from a universe of companies followed by either the firm’s research department, or a correspondent research department. These stocks are selected/recommended by our Investment Policy Committee, made up of Sterne, Agee & Leach investment professionals. Members of this committee meet regularly to evaluate the current market conditions, specific companies, and current recommendations.