Our Company

our-story

Our Company

As a leading independent broker/dealer, SA Stone Wealth Management Inc. (“SA Stone”), formerly Sterne Agee Financial Services, Inc., together with its affiliated SEC registered investment advisor, SA Stone Advisory Services Inc., provides an integrated platform of technology, comprehensive wealth management and investment services to registered representatives, investment advisor representatives and registered investment advisors nationwide. Our firm supports more than 430 independent professionals with best-in-class service and products. SA Stone is a wholly owned subsidiary of INTL FCStone Inc. (NASDAQ: INTL), which through its subsidiaries, is a leading provider of execution, risk management, market intelligence, and post-trade services across asset classes and markets around the world. More information about INTL FCStone Inc. is available at www.intlfcstone.com.

CEO Welcome

“It isn’t one individual who makes a company, it’s a team, and I couldn’t be more proud of our team. It’s their hard work and dedication to supporting our advisors that makes working at SA Stone a privilege. We are dedicated to providing the world-class services our advisors need in order for them to better serve their clients and grow their businesses.”
Jay Carter, CEO, SA Stone Wealth Management

Our Leadership

 

Jay W. Carter

Chief Executive Officer

Jay Carter joined Sterne Agee in 1998 and currently serves as President and CEO of SA Wealth Management, formerly Sterne Agee Financial Services, Inc. He began his career as a Registered Representative for a national financial planning firm in 1993. Prior to joining Sterne Agee, he served as Vice President of Business Development for a national brokerage firm that focuses on investment programs in financial institutions. He also served four years in the U. S. Army as a Russian Linguist. Mr. Carter earned a BA with a double major in Managerial Finance and Banking and Finance from the University of Mississippi, graduating cum laude.
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Marcus Richardson

Chief Operating Officer
Marcus Richardson has more than 18 years of experience in the financial services industry. He joined Sterne Agee in June 2006 and currently serves as Chief Operating Officer of SA Stone Wealth Management, formerly Sterne Agee Financial Services. Prior to joining the firm, Mr. Richardson held various industry positions such as financial analyst, trader, and securities principal. Mr. Richardson graduated from Samford University with a BS in Business Administration and a minor in Computer Science. He resides in Birmingham with his wife and two children.
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Brian Parker

Chief Compliance Officer
Brian Parker joined Sterne Agee in 2012 and currently serves as Chief Compliance Officer of SA Stone Wealth Management, formerly Sterne Agee Financial Services, Inc.. Previously, he served as Director of Supervision for SAFS. He built his financial career working in brokerage support and compliance for a large regional firm prior to joining Sterne Agee. Brian holds a BS Degree in Finance from the University of Alabama.
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Matt C. Kelley

Head of Business Development
Matt Kelley joined Sterne Agee as part of the WRP acquisition in 2014 and serves as Head of Business Development for SA Wealth Management, formerly Sterne Agee Financial Services, Inc. Matt leads the firms’ growth strategy and national recruiting team. He has served in similar roles within both large and mid-sized brokerage organizations, most recently with Cetera and Ameriprise. He resides in greater Cincinnati, OH, earned his BA in Business Administration from Thomas More and holds his series 7,24, 52 and 65 with FINRA.
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Bill Pintaric, Jr

Director of Supervision
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Mark Hugo

Associate Director of Supervision
Mark Hugo joined Sterne Agee as part of the WRP acquisition in 2014 and serves as Director of Supervision for SA Stone Wealth Management, formerly Sterne Agee Financial Services, Inc. Prior to SA Stone he was Director of Business Development for WRP Investments, Inc. Mark has been in the financial services industry since 1990 during which time he served as Executive Vice President, Chief Compliance Officer and FINOP. Mark’s extensive and diverse background in operations, compliance, business retention and recruiting along with the licenses he holds, which includes a series 7, 24, 27, 53, 63, 65, and insurance license, give him a unique ability to support and guide financial advisors in this ever changing industry.
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David Pintaric

Managing Director, Sales
David Pintaric joined Sterne Agee as part of the WRP acquisition in 2014 and serves as Managing Director in Sales for SA Stone Wealth Management, formerly Sterne Agee Financial Services, Inc. David served WRP representatives since 1986, working his way through the operations and marketing divisions of the broker dealer. David continues to be genuinely focused on meeting the needs of our advisors. As proven over the years, he applies a diligent approach to getting things done and moving WRP proactively and securely into the future. Both David and his brother, Bill, truly care about their broker/dealer, its effectiveness, and more importantly, its impact on our representatives. David received a Bachelor’s of Science in Business Administration in 1985 from Youngstown State University.
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Maribeth Williams

Senior Vice President, Client Services
Maribeth Williams joined Sterne Agee in 2001 as an employee in the Operations department. Now as SVP of Client Services for SA Stone Wealth Management, formerly Sterne Agee Financial Services, Inc., Maribeth is responsible for ensuring the effective delivery of all administrative and operational services within the department. She also manages the on-boarding and transition of qualified financial advisors to SA Stone. She attended the University of Alabama in Birmingham and received her B.S. Degree in Financial Management.
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Stephanie Bova

Senior Vice President, Administration
Stephanie joined Sterne Agee as part of the WRP acquisition in 2014 and serves as SVP of Administration for SA Stone Wealth Management, formerly Sterne Agee Financial Services, Inc. Stephanie began working for WRP Investments in 1996 and was the firm’s Director of Operations. She was responsible for Commissions, Registrations, Accounting and was Head of HR. Stephanie’s current role of SVP of Administration includes overseeing the firms Registration Department, New Advisor Onboarding and Transition team, and is the HR Liaison for SAFS. Stephanie has her FINRA Operations Professional exam, Series 99.
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Steve O’Neill

Director of Business Development
Stephen O’Neill serves as SA Stone Wealth Management’s, formerly Sterne Agee Financial Services, Inc. Director of Business Development. Steve joined Sterne Agee Financial Services in 2009 and brings more than 25 years of successful marketing and recruiting expertise to the firm. Previously, he served as Senior Sales Manager for TD Ameritrade Institutional, responsible for sales strategy and recruiting efforts of “break away brokers”. Prior to TD Ameritrade, Mr. O’Neill served as Senior Vice President of Cambridge Investment Research, responsible for overall recruiting efforts of the firm. He is originally from New Orleans, Louisiana and graduated from Southeastern Louisiana University with a degree in business.
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our-story

Our Company History

  • 1901 – George B ward organizes a securities firm, predecessor to Sterne, Agee & Leach.
  • 1914 – Mervyn H. Sterne founds M.H. Sterne Securities Firm.
  • 1916 – Mervyn H. Sterne and George B. Ward merge firms to form Ward, Sterne & Company.
  • 1919 – Rucker Agee joins the firm.
  • 1921 – Edmund C. Leach opens an office for the firm.
  • 1924 (INTL) – Saul Stone, a door-to-door egg wholesaler, forms Saul Stone and Company, predecessor to FCStone.
  • 1930 (INTL) – In the 1930s, Saul Stone and Company becomes one of the first clearing members of the Chicago Mercantile Exchange (CME).
  • 1936 – Ward, Sterne & Company joins the National Association of Securities Dealers (NASD).
  • 1955 – Henry S. Lynn acquires a seat on the New York Stock Exchange. Alonzo H. Lee becomes an associate member of the American Stock Exchange.
  • 1965 – Firm incorporates as Sterne, Agee & Leach, Inc.
  • 1978 (INTL) – A new entity called Farmers Commodities Corporation (FCC) is formed to accommodate the grain hedging brokerage services.
  • 1981 (INTL) – International Assets is established as an internationally focused boutique brokerage firm.
  • 1990 – Sterne, Agee & Leach consolidates with First Birmingham Securities.
  • 1993 – F&G Investment Services, eventually Sterne Agee Financial Services, is acquired.
  • 1994 – (INTL) International Assets is listed on NASDAQ.
  • 1996 – The holding company of Sterne Agee Group, Inc. is formed.
  • 1998 – Sterne Agee Asset Management is formed.
  • 2000 – Sterne, Agee & Leach, Inc. acquires John R. Taylor Financial Group, Inc., McAllaster& Associates, CG Maton Financial Services (eventually to become Sterne Agee Financial Services).
  • 2000 – (INTL) FCC acquires Saul Stone and Company to become FCStone, one of the nation’s largest commercial grain brokerage firms.
  • 2009 – International Assets Holding Corporation and FCStone Group, Inc. merge.
  • 2011 – Sterne, Agee & Leach, Inc. acquires Anderson &Strudwick.
  • 2011 (INTL) – International Assets Holding Corporation changes its name to INTL FCStone Inc.
  • 2014 – Sterne Agee Financial Services, Inc. acquires WRP Investments, Inc. of Youngstown, Ohio.
  • 2015 – Sterne Agee Group, Inc. is acquired by Stifel Financial Corporation, Inc.
  • 2015 (INTL) – The company completes the acquisition of G.X. Clarke & Co., an institutional dealer in U.S. government securities, feceral agency securities and mortgage-backed securities. INTL FCStone Inc. consolidates its securities, rates and FCM business into INTL FCStone Financial Inc.
  • 2016 – INTL FCStone completes acquisition of Sterne, Agee & Leach, Inc. and its independent broker-dealer, Sterne Agee Financial Services, Inc. from Stifel Financial Corporation.
  • 2017 – Sterne Agee Financial Services, Inc. and Sterne Agee Investment Advisors, Inc. become SA Stone Wealth Management Inc and SA Stone Investment Advisors Inc.

Our Mission

Our mission is to provide world-class independent wealth management products and services. We believe in your choice to grow your business in the way that best suits you and your clients. Whether your business model is traditional brokerage, advisory or hybrid, we are committed to providing you a flexible and customizable work environment with the highest level of support and assistance. Access to multiple affiliation choices enables advisors to customize their level of support, services, fees and payouts to fit with how they wish to serve their clients.

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