General Counsel

0001492996-14-000015.txt : 20140508 0001492996-14-000015.hdr.sgml : 20140508 20140508142755 ACCESSION NUMBER: 0001492996-14-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140508 DATE AS OF CHANGE: 20140508 EFFECTIVENESS DATE: 20140508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STERNE AGEE GROUP, INC. CENTRAL INDEX KEY: 0001492996 IRS NUMBER: 631175904 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13983 FILM NUMBER: 14824335 BUSINESS ADDRESS: STREET 1: 800 SHADES CREEK PARKWAY, SUITE 700 CITY: BIRMINGHAM STATE: AL ZIP: 35209 BUSINESS PHONE: 205-949-3500 MAIL ADDRESS: STREET 1: 800 SHADES CREEK PARKWAY, SUITE 700 CITY: BIRMINGHAM STATE: AL ZIP: 35209 13F-HR 1 primary_doc.xml 13F-HR LIVE false false true 0001492996 XXXXXXXX 03-31-2014 03-31-2014 false STERNE AGEE GROUP, INC.

800 Shades Creek Parkway, Suite 700 BIRMINGHAM AL 35209

13F HOLDINGS REPORT 028-13983 N James Ritt General Counsel 205-439-6483 /s/ Jim Ritt Birmingham AL 05-08-2014 2 304 508618 1 0001134279 028-13128 TRUST Co OF STERNE AGEE, INC. 2 0001591988 028-15657 Sterne Agee Asset Management, Inc. 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067901108 1068 59917 SH OTR 2 0 0 59917 BAXTER INTL INC CS 071813109 1725 23442 SH OTR 2 0 0 23442 BAYTEX ENERGY CORP cs 07317Q105 617 15000 SH DFND 1 15000 0 0 BB&T CORP CS 054937107 790 19677 SH OTR 2 0 0 19677 BCE INC CS 05534B760 891 20662 SH OTR 2 0 0 20662 BED BATH & BEYOND INC CS 075896100 1293 18788 SH OTR 2 0 0 18788 BERKSHIRE HATHAWAY INC DEL CS 084670702 1457 11661 SH DFND 1 11661 0 0 BHP BILLITON LTD CS 088606108 835 12322 SH DFND 1 12322 0 0 BORGWARNER INC CS 099724106 1442 23452 SH DFND 1 23452 0 0 BP PLC CS 055622104 1008 20946 SH OTR 2 0 0 20946 BRANDYWINE RLTY TR CS 105368203 284 19640 SH DFND 1 19640 0 0 BRIGGS & STRATTON CORP CS 109043109 1347 60535 SH OTR 2 0 0 60535 BRISTOL MYERS SQUIBB CO CS 110122108 1572 30260 SH DFND 1 30260 0 0 BROADCOM CORP CS 111320107 452 14376 SH OTR 2 0 0 14376 BROOKFIELD RESIDENTIAL PPTYS CS 11283W104 224 10700 SH OTR 2 0 0 10700 CABELAS INC CS 126804301 1020 15572 SH OTR 2 0 0 15572 CABLEVISION SYS CORP CS 12686C109 390 23097 SH OTR 2 0 0 23097 CANADIAN NATL RY CO CS 136375102 1451 25810 SH OTR 2 0 0 25810 CANADIAN NATL RY CO CS 136375102 888 15790 SH DFND 1 15790 0 0 CARMAX INC CS 143130102 879 18788 SH OTR 2 0 0 18788 CBS CORP NEW CS 124857202 1348 21818 SH OTR 2 0 0 21818 CENOVUS ENERGY INC CS 15135U109 305 10525 SH OTR 2 0 0 10525 CENTURYLINK INC CS 156700106 380 11586 SH DFND 1 11586 0 0 CHENIERE ENERGY INC cs 16411R208 797 14400 SH DFND 1 14400 0 0 CHEVRON CORP NEW CS 166764100 3376 28389 SH OTR 2 0 0 28389 CHEVRON CORP NEW CS 166764100 3680 30951 SH DFND 1 30951 0 0 CHICAGO BRIDGE & IRON CO N V CS 167250109 3785 43433 SH OTR 2 0 0 43433 CHICAGO BRIDGE & IRON CO N V CS 167250109 1467 16831 SH DFND 1 16831 0 0 CHUBB CORP CS 171232101 1117 12504 SH OTR 2 0 0 12504 CINEMARK HOLDINGS INC CS 17243V102 505 17422 SH OTR 2 0 0 17422 CISCO SYS INC CS 17275R102 4973 221856 SH OTR 2 0 0 221856 CISCO SYS INC CS 17275R102 408 18217 SH DFND 1 18217 0 0 CLEAN ENERGY FUELS CORP cs 184499101 304 34000 SH DFND 1 34000 0 0 COCA COLA CO CS 191216100 4340 112265 SH DFND 1 112265 0 0 COCA COLA ENTERPRISES INC NE CS 19122T109 1482 31028 SH OTR 2 0 0 31028 COMCAST CORP NEW CS 20030N101 2334 46646 SH OTR 2 0 0 46646 COMCAST CORP NEW CS 20030N200 1037 21259 SH OTR 2 0 0 21259 CONOCOPHILLIPS CS 20825C104 1528 21715 SH OTR 2 0 0 21715 CONOCOPHILLIPS CS 20825C104 1581 22473 SH DFND 1 22473 0 0 CORNING INC CS 219350105 3885 186595 SH OTR 2 0 0 186595 CORNING INC CS 219350105 859 41236 SH DFND 1 41236 0 0 COVIDIEN PLC CS G2554F113 1860 25245 SH OTR 2 0 0 25245 COVIDIEN PLC CS G2554F113 865 11739 SH DFND 1 11739 0 0 CREE INC CS 225447101 591 10450 SH DFND 1 10450 0 0 CVS CAREMARK CORPORATION CS 126650100 1255 16767 SH OTR 2 0 0 16767 CYPRESS SEMICONDUCTOR CORP CS 232806109 435 42400 SH OTR 2 0 0 42400 D R HORTON INC CS 23331A109 974 44975 SH DFND 1 44975 0 0 DECKERS OUTDOOR CORP CS 243537107 1515 18999 SH OTR 2 0 0 18999 DEERE & CO CS 244199105 1671 18405 SH DFND 1 18405 0 0 DEVON ENERGY CORP NEW CS 25179M103 957 14295 SH 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17095 0 0 HSBC HLDGS PLC CS 404280406 580 11412 SH OTR 2 0 0 11412 ING GROEP N V CS 456837103 402 28230 SH DFND 1 28230 0 0 INGERSOLL-RAND PLC CS G47791101 2092 36555 SH OTR 2 0 0 36555 INTEL CORP CS 458140100 4771 184830 SH OTR 2 0 0 184830 INTEL CORP CS 458140100 1654 64074 SH DFND 1 64074 0 0 INTERNATIONAL BUSINESS MACHS CS 459200101 2158 11212 SH DFND 1 11212 0 0 ISHARES FD 464286749 673 19595 SH OTR 2 0 0 19595 ISHARES FD 464286764 635 15566 SH OTR 2 0 0 15566 ISHARES FD 464286806 1349 43046 SH OTR 2 0 0 43046 ISHARES FD 464287168 1746 23819 SH DFND 1 23819 0 0 ISHARES FD 464287234 662 16138 SH OTR 2 0 0 16138 ISHARES FD 464287234 2061 50256 SH DFND 1 50256 0 0 ISHARES FD 464287465 7789 115909 SH OTR 2 0 0 115909 ISHARES FD 464287648 1869 13740 SH DFND 1 13740 0 0 ISHARES FD 464287689 10412 92704 SH OTR 2 0 0 92704 ISHARES FD 464287739 887 13109 SH OTR 2 0 0 13109 ISHARES FD 464287846 2177 22957 SH OTR 2 0 0 22957 ISHARES FD 464288646 25671 243375 SH OTR 2 0 0 243375 ISHARES SILVER TRUST FD 46428Q109 407 21390 SH DFND 1 21390 0 0 ISHARES FD 46429B663 888 12427 SH DFND 1 12427 0 0 ITC HLDGS CORP CS 465685105 4304 115240 SH OTR 2 0 0 115240 ITRON INC CS 465741106 1655 46572 SH OTR 2 0 0 46572 JOHNSON & JOHNSON CS 478160104 3439 35011 SH OTR 2 0 0 35011 JOHNSON & JOHNSON CS 478160104 3168 32250 SH DFND 1 32250 0 0 JPMORGAN CHASE & CO CS 46625H100 2572 42370 SH OTR 2 0 0 42370 JPMORGAN CHASE & CO CS 46625H100 3133 51598 SH DFND 1 51598 0 0 KAPSTONE PAPER & PACKAGING C CS 48562P103 307 10660 SH DFND 1 10660 0 0 KELLOGG CO CS 487836108 1474 23508 SH OTR 2 0 0 23508 LABORATORY CORP AMER HLDGS CS 50540R409 3502 35660 SH OTR 2 0 0 35660 LAS VEGAS SANDS CORP CS 517834107 1939 24000 SH OTR 1 24000 0 0 LAZARD LTD CS G54050102 1380 29316 SH OTR 2 0 0 29316 LIBERTY GLOBAL PLC CS G5480U104 481 11566 SH OTR 2 0 0 11566 LIBERTY GLOBAL PLC CS G5480U120 452 11110 SH OTR 2 0 0 11110 LILLY ELI & CO CS 532457108 774 13153 SH OTR 2 0 0 13153 LINNCO LLC CS 535782106 393 14525 SH OTR 2 0 0 14525 LIQUIDITY SERVICES INC CS 53635B107 1545 59307 SH OTR 2 0 0 59307 LORILLARD INC CS 544147101 811 14990 SH OTR 2 0 0 14990 LYONDELLBASELL INDUSTRIES N CS N53745100 2412 27121 SH OTR 2 0 0 27121 MACK CALI RLTY CORP CS 554489104 456 21948 SH OTR 2 0 0 21948 MACQUARIE INFRASTR CO LLC CS 55608B105 606 10585 SH OTR 2 0 0 10585 MARKET VECTORS ETF TR CS 57060U100 2564 108612 SH OTR 2 0 0 108612 MARKET VECTORS ETF TR cs 57060U100 783 33190 SH DFND 1 33190 0 0 MATERION CORP CS 576690101 1871 55138 SH OTR 2 0 0 55138 MBIA INC CS 55262C100 1198 85626 SH OTR 2 0 0 85626 MCDONALDS CORP CS 580135101 1667 17003 SH OTR 2 0 0 17003 MDU RES GROUP INC CS 552690109 607 17689 SH OTR 2 0 0 17689 MEDTRONIC INC CS 585055106 1781 28944 SH OTR 2 0 0 28944 MERCK & CO INC NEW CS 58933Y105 1139 20064 SH OTR 2 0 0 20064 MERCK & CO INC NEW CS 58933Y105 577 10156 SH DFND 1 10156 0 0 MICROCHIP TECHNOLOGY INC CS 595017104 1677 35107 SH OTR 2 0 0 35107 MICROSOFT CORP CS 594918104 3007 73370 SH OTR 2 0 0 73370 MICROSOFT CORP CS 594918104 3321 81027 SH DFND 1 81027 0 0 MITSUBISHI UFJ FINL GROUP IN CS 606822104 208 37560 SH DFND 1 37560 0 0 MOLSON COORS BREWING CO CS 60871R209 1919 32609 SH OTR 2 0 0 32609 MORGAN STANLEY CS 617446448 989 31724 SH DFND 1 31724 0 0 NABORS INDUSTRIES LTD CS G6359F103 337 13670 SH OTR 2 0 0 13670 NATIONAL GRID PLC CS 636274300 1666 24231 SH OTR 2 0 0 24231 NATIONAL OILWELL VARCO INC CS 637071101 3257 41825 SH OTR 2 0 0 41825 NCR CORP NEW CS 62886E108 3640 99594 SH OTR 2 0 0 99594 NEW MEDIA INVT GROUP INC CS 64704V106 518 34457 SH OTR 2 0 0 34457 NEW RESIDENTIAL INVT CORP CS 64828T102 577 89150 SH OTR 2 0 0 89150 NEWCASTLE INVT CORP CS 65105M108 479 102000 SH OTR 2 0 0 102000 NEWMONT MINING CORP CS 651639106 610 26044 SH OTR 2 0 0 26044 NEWMONT MINING CORP cs 651639106 724 30900 SH DFND 1 30900 0 0 NEXTERA ENERGY INC CS 65339F101 3211 33584 SH OTR 2 0 0 33584 NIKE INC CS 654106103 996 13481 SH DFND 1 13481 0 0 NISOURCE INC CS 65473P105 1667 46925 SH OTR 2 0 0 46925 NN INC CS 629337106 296 15000 SH DFND 1 15000 0 0 NORFOLK SOUTHERN CORP CS 655844108 1021 10503 SH DFND 1 10503 0 0 NORTHEAST UTILS CS 664397106 1976 43433 SH OTR 2 0 0 43433 NOVARTIS A G CS 66987V109 1749 20567 SH OTR 2 0 0 20567 NOVO-NORDISK A S CS 670100205 1806 39569 SH OTR 2 0 0 39569 NOVO-NORDISK A S CS 670100205 1971 43185 SH DFND 1 43185 0 0 NQ MOBILE INC CS 64118U108 309 17550 SH OTR 2 0 0 17550 OCCIDENTAL PETE CORP DEL CS 674599105 1563 16407 SH OTR 2 0 0 16407 OLD DOMINION FGHT LINES INC CS 679580100 1189 20959 SH OTR 2 0 0 20959 OLIN CORP CS 680665205 315 11408 SH OTR 2 0 0 11408 ONE GAS INC CS 68235P108 1347 37483 SH OTR 2 0 0 37483 ONEOK INC NEW CS 682680103 1684 28420 SH OTR 2 0 0 28420 ORACLE CORP CS 68389X105 543 13285 SH OTR 2 0 0 13285 ORACLE CORP CS 68389X105 1462 35744 SH DFND 1 35744 0 0 PACKAGING CORP AMER CS 695156109 2045 29066 SH OTR 2 0 0 29066 PAN AMERICAN SILVER CORP cs 697900108 952 74000 SH DFND 1 74000 0 0 PATTERN ENERGY GROUP INC CS 70338P100 496 18285 SH OTR 2 0 0 18285 PAYCHEX INC CS 704326107 1442 33851 SH OTR 2 0 0 33851 PENN WEST PETE LTD NEW cs 707887105 251 30000 SH DFND 1 30000 0 0 PEPSICO INC CS 713448108 2938 35187 SH OTR 2 0 0 35187 PFIZER INC CS 717081103 1248 38859 SH OTR 2 0 0 38859 PFIZER INC CS 717081103 1550 48263 SH DFND 1 48263 0 0 PINNACLE WEST CAP CORP CS 723484101 1309 23955 SH OTR 2 0 0 23955 PNC FINL SVCS GROUP INC CS 693475105 3390 38968 SH OTR 2 0 0 38968 POWERSHARES ETF TRUST FD 73935X153 938 25175 SH OTR 2 0 0 25175 POWERSHARES ETF TRUST II FD 73936Q108 355 13188 SH OTR 2 0 0 13188 POWERSHARES ETF TRUST II FD 73936Q744 876 22341 SH OTR 2 0 0 22341 PRICESMART INC CS 741511109 1173 11621 SH OTR 2 0 0 11621 PROCTER & GAMBLE CO CS 742718109 2864 35531 SH OTR 2 0 0 35531 PROCTER & GAMBLE CO CS 742718109 2678 33226 SH DFND 1 33226 0 0 PROSHARES TR CS 74348A319 699 15237 SH OTR 2 0 0 15237 PROTECTIVE LIFE CORP CS 743674103 1262 24000 SH OTR 1 24000 0 0 PROTECTIVE LIFE CORP CS 743674103 898 17082 SH DFND 1 17082 0 0 PULTE GROUP INC CS 745867101 510 26576 SH OTR 2 0 0 26576 QUALCOMM INC CS 747525103 2509 31813 SH DFND 1 31813 0 0 RAYMOND JAMES FINANCIAL INC CS 754730109 704 12579 SH OTR 2 0 0 12579 RAYONIER INC CS 754907103 537 11689 SH OTR 2 0 0 11689 RAYONIER INC CS 754907103 594 12931 SH DFND 1 12931 0 0 REGIONS FINL CORP NEW CS 7591EP100 333 30000 SH OTR 1 30000 0 0 REGIONS FINL CORP NEW CS 7591EP100 567 51054 SH DFND 1 51054 0 0 ROYAL DUTCH SHELL PLC CS 780259107 1622 20765 SH OTR 2 0 0 20765 SCANA CORP NEW CS 80589M102 1638 31908 SH OTR 2 0 0 31908 SCHLUMBERGER LTD CS 806857108 2269 23272 SH OTR 2 0 0 23272 SCHLUMBERGER LTD CS 806857108 1867 19149 SH DFND 1 19149 0 0 SCHWAB CHARLES CORP NEW CS 808513105 780 28532 SH OTR 2 0 0 28532 SCOTTS MIRACLE GRO CO CS 810186106 2036 33224 SH OTR 2 0 0 33224 SEADRILL LIMITED CS G7945E105 389 11075 SH DFND 1 11075 0 0 SEAGATE TECHNOLOGY PLC CS G7945M107 719 12796 SH OTR 2 0 0 12796 SELECT SECTOR SPDR TR CS 81369Y803 1489 40968 SH OTR 2 0 0 40968 SELECT SECTOR SPDR TR cs 81369Y886 804 19400 SH DFND 1 19400 0 0 SEMPRA ENERGY CS 816851109 1656 17119 SH OTR 2 0 0 17119 SENSATA TECHNOLOGIES HLDG BV CS N7902X106 1124 26355 SH OTR 2 0 0 26355 SERVICE CORP INTL CS 817565104 1081 54364 SH OTR 2 0 0 54364 SHIP FINANCE INTERNATIONAL L CS G81075106 519 28900 SH OTR 2 0 0 28900 SIEMENS A G CS 826197501 2146 15876 SH OTR 2 0 0 15876 SONOCO PRODS CO CS 835495102 957 23322 SH OTR 2 0 0 23322 SONY CORP CS 835699307 1685 88151 SH OTR 2 0 0 88151 SOUTH JERSEY INDS INC CS 838518108 775 13820 SH OTR 2 0 0 13820 SOUTHERN CO CS 842587107 1780 40521 SH OTR 2 0 0 40521 SOUTHERN CO CS 842587107 524 11930 SH DFND 1 11930 0 0 SPDR GOLD TRUST FD 78463V107 2574 20824 SH DFND 1 20824 0 0 SPDR SERIES TRUST FD 78464A359 3643 75276 SH DFND 1 75276 0 0 SPDR SERIES TRUST FD 78464A698 693 16737 SH OTR 2 0 0 16737 STANLEY BLACK & DECKER INC CS 854502101 2760 33974 SH OTR 2 0 0 33974 STURM RUGER & CO INC CS 864159108 1081 18080 SH OTR 2 0 0 18080 STURM RUGER & CO INC CS 864159108 692 11567 SH DFND 1 11567 0 0 SUNEDISON INC CS 86732Y109 441 23400 SH OTR 2 0 0 23400 SUNTRUST BKS INC CS 867914103 695 17476 SH OTR 2 0 0 17476 SUNTRUST BKS INC CS 867914103 568 14282 SH DFND 1 14282 0 0 TAIWAN SEMICONDUCTOR MFG LTD CS 874039100 3030 151364 SH OTR 2 0 0 151364 TARGET CORP CS 87612E106 2148 35503 SH OTR 2 0 0 35503 TELUS CORP CS 87971M103 1605 44656 SH OTR 2 0 0 44656 TEMPUR SEALY INTL INC CS 88023U101 1067 21050 SH OTR 2 0 0 21050 TENET HEALTHCARE CORP CS 88033G407 1349 31506 SH OTR 2 0 0 31506 TEREX CORP NEW CS 880779103 3116 70346 SH OTR 2 0 0 70346 TEVA PHARMACEUTICAL INDS LTD CS 881624209 4076 77139 SH OTR 2 0 0 77139 TEXAS INSTRS INC CS 882508104 644 13650 SH OTR 2 0 0 13650 TJX COS INC NEW CS 872540109 792 13065 SH OTR 2 0 0 13065 TORCHMARK CORP CS 891027104 5777 73399 SH DFND 1 73399 0 0 TRANSCANADA CORP CS 89353D107 1356 29789 SH OTR 2 0 0 29789 TRAVELERS COMPANIES INC CS 89417E109 1023 12021 SH OTR 2 0 0 12021 TUPPERWARE BRANDS CORP CS 899896104 1667 19902 SH OTR 2 0 0 19902 UNILEVER N V CS 904784709 1039 25279 SH OTR 2 0 0 25279 UNITED PARCEL SERVICE INC CS 911312106 1834 18837 SH OTR 2 0 0 18837 UNITEDHEALTH GROUP INC CS 91324P102 1145 13960 SH OTR 2 0 0 13960 US BANCORP DEL CS 902973304 2519 58761 SH OTR 2 0 0 58761 US BANCORP DEL CS 902973304 891 20777 SH DFND 1 20777 0 0 VERIZON COMMUNICATIONS INC CS 92343V104 3193 67130 SH OTR 2 0 0 67130 VERIZON COMMUNICATIONS INC CS 92343V104 915 19241 SH DFND 1 19241 0 0 VODAFONE GROUP PLC NEW CS 92857W308 800 21725 SH OTR 2 0 0 21725 WABTEC CORP CS 929740108 2873 37076 SH OTR 2 0 0 37076 WADDELL & REED FINL INC CS 930059100 4436 60258 SH DFND 1 60258 0 0 WALGREEN CO CS 931422109 675 10223 SH OTR 2 0 0 10223 WALGREEN CO CS 931422109 979 14820 SH DFND 1 14820 0 0 WAL-MART STORES INC CS 931142103 1958 25619 SH OTR 2 0 0 25619 WAL-MART STORES INC CS 931142103 1771 23172 SH DFND 1 23172 0 0 WASHINGTON REAL ESTATE INVT CS 939653101 356 14892 SH OTR 2 0 0 14892 WEATHERFORD INTERNATIONAL LT CS H27013103 1035 59632 SH OTR 2 0 0 59632 WELLS FARGO & CO NEW CS 949746101 3468 69729 SH OTR 2 0 0 69729 WELLS FARGO & CO NEW CS 949746101 3189 64105 SH DFND 1 64105 0 0 WELLS FARGO & CO NEW W 949746119 583 31275 SH OTR 2 0 0 31275 WESTPORT INNOVATIONS INC cs 960908309 536 37000 SH DFND 1 37000 0 0 WEYERHAEUSER CO CS 962166104 401 13661 SH OTR 2 0 0 13661 WILLIAMS COS INC DEL CS 969457100 3167 78034 SH OTR 2 0 0 78034 WISCONSIN ENERGY CORP CS 976657106 893 19176 SH OTR 2 0 0 19176 WORTHINGTON INDS INC CS 981811102 1244 32512 SH OTR 2 0 0 32512 XYLEM INC CS 98419M100 3611 99160 SH OTR 2 0 0 99160