401k Plan data: STERNE AGEE 401K PLAN plan

STERNE AGEE 401K PLAN 401k Plan overview

Plan Name	STERNE AGEE 401K PLAN
Plan identification number	001

STERNE AGEE 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STERNE AGEE GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: STERNE AGEE GROUP, INC.

Employer identification number (EIN): 630463600

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about STERNE AGEE GROUP, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2643001

More information about STERNE AGEE GROUP, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STERNE AGEE 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-10-01 KRISTEN JOHNSON
001 2014-10-01 KRISTEN JOHNSON
001 2013-10-01 ROBERT CORNE
001 2012-10-01 TAYLOR HAMMONS
001 2011-10-01 TAYLOR HAMMONS
001 2009-10-01 TAYLOR HAMMONS
001 2008-10-01

Plan Statistics for STERNE AGEE 401K PLAN

401k plan membership statisitcs for STERNE AGEE 401K PLAN

Measure Date Value
2015: STERNE AGEE 401K PLAN 2015 401k membership
Total participants, beginning-of-year 2015-10-01 1,495
Total number of active participants reported on line 7a of the Form 5500 2015-10-01 0
Number of retired or separated participants receiving benefits 2015-10-01 0
Number of other retired or separated participants entitled to future benefits 2015-10-01 0
Total of all active and inactive participants 2015-10-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-10-01 0
Total participants 2015-10-01 0
Number of participants with account balances 2015-10-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-10-01 0
2014: STERNE AGEE 401K PLAN 2014 401k membership
Total participants, beginning-of-year 2014-10-01 1,319
Total number of active participants reported on line 7a of the Form 5500 2014-10-01 618
Number of retired or separated participants receiving benefits 2014-10-01 0
Number of other retired or separated participants entitled to future benefits 2014-10-01 871
Total of all active and inactive participants 2014-10-01 1,489
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-10-01 6
Total participants 2014-10-01 1,495
Number of participants with account balances 2014-10-01 1,405
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-10-01 1
2013: STERNE AGEE 401K PLAN 2013 401k membership
Total participants, beginning-of-year 2013-10-01 1,441
Total number of active participants reported on line 7a of the Form 5500 2013-10-01 1,069
Number of retired or separated participants receiving benefits 2013-10-01 0
Number of other retired or separated participants entitled to future benefits 2013-10-01 250
Total of all active and inactive participants 2013-10-01 1,319
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-10-01 0
Total participants 2013-10-01 1,319
Number of participants with account balances 2013-10-01 1,141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-10-01 0
2012: STERNE AGEE 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-10-01 1,100
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 1,061
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 377
Total of all active and inactive participants 2012-10-01 1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 0
Total participants 2012-10-01 1,438
Number of participants with account balances 2012-10-01 1,176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0
2011: STERNE AGEE 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-10-01 873
Total number of active participants reported on line 7a of the Form 5500 2011-10-01 1,085
Number of retired or separated participants receiving benefits 2011-10-01 0
Number of other retired or separated participants entitled to future benefits 2011-10-01 12
Total of all active and inactive participants 2011-10-01 1,097
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-10-01 3
Total participants 2011-10-01 1,100
Number of participants with account balances 2011-10-01 1,100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-10-01 0
2009: STERNE AGEE 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-10-01 975
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 845
Number of retired or separated participants receiving benefits 2009-10-01 0
Number of other retired or separated participants entitled to future benefits 2009-10-01 227
Total of all active and inactive participants 2009-10-01 1,072
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-10-01 0
Total participants 2009-10-01 1,072
Number of participants with account balances 2009-10-01 911
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-10-01 0

Measure	Date	Value
2015: STERNE AGEE 401K PLAN 2015 401k membership
Total participants, beginning-of-year	2015-10-01	1,495
Total number of active participants reported on line 7a of the Form 5500	2015-10-01	0
Number of retired or separated participants receiving benefits	2015-10-01	0
Number of other retired or separated participants entitled to future benefits	2015-10-01	0
Total of all active and inactive participants	2015-10-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-10-01	0
Total participants	2015-10-01	0
Number of participants with account balances	2015-10-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-10-01	0
2014: STERNE AGEE 401K PLAN 2014 401k membership
Total participants, beginning-of-year	2014-10-01	1,319
Total number of active participants reported on line 7a of the Form 5500	2014-10-01	618
Number of retired or separated participants receiving benefits	2014-10-01	0
Number of other retired or separated participants entitled to future benefits	2014-10-01	871
Total of all active and inactive participants	2014-10-01	1,489
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-10-01	6
Total participants	2014-10-01	1,495
Number of participants with account balances	2014-10-01	1,405
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-10-01	1
2013: STERNE AGEE 401K PLAN 2013 401k membership
Total participants, beginning-of-year	2013-10-01	1,441
Total number of active participants reported on line 7a of the Form 5500	2013-10-01	1,069
Number of retired or separated participants receiving benefits	2013-10-01	0
Number of other retired or separated participants entitled to future benefits	2013-10-01	250
Total of all active and inactive participants	2013-10-01	1,319
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-10-01	0
Total participants	2013-10-01	1,319
Number of participants with account balances	2013-10-01	1,141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-10-01	0
2012: STERNE AGEE 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-10-01	1,100
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	1,061
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	377
Total of all active and inactive participants	2012-10-01	1,438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	0
Total participants	2012-10-01	1,438
Number of participants with account balances	2012-10-01	1,176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0
2011: STERNE AGEE 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-10-01	873
Total number of active participants reported on line 7a of the Form 5500	2011-10-01	1,085
Number of retired or separated participants receiving benefits	2011-10-01	0
Number of other retired or separated participants entitled to future benefits	2011-10-01	12
Total of all active and inactive participants	2011-10-01	1,097
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-10-01	3
Total participants	2011-10-01	1,100
Number of participants with account balances	2011-10-01	1,100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-10-01	0
2009: STERNE AGEE 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-10-01	975
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	845
Number of retired or separated participants receiving benefits	2009-10-01	0
Number of other retired or separated participants entitled to future benefits	2009-10-01	227
Total of all active and inactive participants	2009-10-01	1,072
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-10-01	0
Total participants	2009-10-01	1,072
Number of participants with account balances	2009-10-01	911
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-10-01	0

Financial Data on STERNE AGEE 401K PLAN

Measure	Date	Value
2016 : STERNE AGEE 401K PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-09-30	$0
Total transfer of assets from this plan	2016-09-30	$41,559,378
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-09-30	$0
Total income from all sources (including contributions)	2016-09-30	$4,944,705
Total loss/gain on sale of assets	2016-09-30	$0
Total of all expenses incurred	2016-09-30	$24,147,406
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-09-30	$24,141,916
Value of total corrective distributions	2016-09-30	$4,665
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-09-30	$320,238
Value of total assets at end of year	2016-09-30	$0
Value of total assets at beginning of year	2016-09-30	$60,762,079
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-09-30	$825
Total interest from all sources	2016-09-30	$32,660
Total dividends received (eg from common stock, registered investment company shares)	2016-09-30	$570,080
Total dividends received from registered investment company shares (eg mutual funds)	2016-09-30	$570,080
Administrative expenses professional fees incurred	2016-09-30	$100
Was this plan covered by a fidelity bond	2016-09-30	Yes
Value of fidelity bond cover	2016-09-30	$15,000,000
If this is an individual account plan, was there a blackout period	2016-09-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-09-30	No
Contributions received from participants	2016-09-30	$269,902
Participant contributions at end of year	2016-09-30	$0
Participant contributions at beginning of year	2016-09-30	$1,317,898
Assets. Other investments not covered elsewhere at end of year	2016-09-30	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-09-30	$42,069,349
Income. Received or receivable in cash from other sources (including rollovers)	2016-09-30	$14,205
Other income not declared elsewhere	2016-09-30	$3,099,670
Administrative expenses (other) incurred	2016-09-30	$725
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-09-30	No
Value of net income/loss	2016-09-30	$-19,202,701
Value of net assets at end of year (total assets less liabilities)	2016-09-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-09-30	$60,762,079
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-09-30	No
Were any leases to which the plan was party in default or uncollectible	2016-09-30	No
Assets. partnership/joint venture interests at end of year	2016-09-30	$0
Assets. partnership/joint venture interests at beginning of year	2016-09-30	$26,140
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-09-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-09-30	$16,446,509
Interest on participant loans	2016-09-30	$30,994
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-09-30	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-09-30	$902,183
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-09-30	$902,183
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-09-30	$1,666
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-09-30	$922,057
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-09-30	No
Was there a failure to transmit to the plan any participant contributions	2016-09-30	No
Has the plan failed to provide any benefit when due under the plan	2016-09-30	No
Contributions received in cash from employer	2016-09-30	$36,131
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-09-30	$24,141,916
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-09-30	Yes
Did the plan have assets held for investment	2016-09-30	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-09-30	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-09-30	Disclaimer
Accountancy firm name	2016-09-30	WARREN AVERETT, LLC
Accountancy firm EIN	2016-09-30	454084437
2015 : STERNE AGEE 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-09-30	$0
Total income from all sources (including contributions)	2015-09-30	$2,459,622
Total loss/gain on sale of assets	2015-09-30	$0
Total of all expenses incurred	2015-09-30	$25,076,136
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-09-30	$25,054,240
Value of total corrective distributions	2015-09-30	$20,471
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-09-30	$7,546,753
Value of total assets at end of year	2015-09-30	$60,762,079
Value of total assets at beginning of year	2015-09-30	$83,378,593
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-09-30	$1,425
Total interest from all sources	2015-09-30	$66,546
Total dividends received (eg from common stock, registered investment company shares)	2015-09-30	$302,069
Total dividends received from registered investment company shares (eg mutual funds)	2015-09-30	$302,069
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-09-30	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-09-30	$508,747
Was this plan covered by a fidelity bond	2015-09-30	Yes
Value of fidelity bond cover	2015-09-30	$15,000,000
If this is an individual account plan, was there a blackout period	2015-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2015-09-30	No
Contributions received from participants	2015-09-30	$6,021,763
Participant contributions at end of year	2015-09-30	$1,317,898
Participant contributions at beginning of year	2015-09-30	$1,964,538
Participant contributions at end of year	2015-09-30	$0
Participant contributions at beginning of year	2015-09-30	$136,088
Assets. Other investments not covered elsewhere at end of year	2015-09-30	$42,069,349
Assets. Other investments not covered elsewhere at beginning of year	2015-09-30	$163,964
Income. Received or receivable in cash from other sources (including rollovers)	2015-09-30	$1,207,381
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-09-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-09-30	$2,656,240
Other income not declared elsewhere	2015-09-30	$-840,003
Administrative expenses (other) incurred	2015-09-30	$1,425
Total non interest bearing cash at end of year	2015-09-30	$0
Total non interest bearing cash at beginning of year	2015-09-30	$407,857
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-09-30	No
Value of net income/loss	2015-09-30	$-22,616,514
Value of net assets at end of year (total assets less liabilities)	2015-09-30	$60,762,079
Value of net assets at beginning of year (total assets less liabilities)	2015-09-30	$83,378,593
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-09-30	No
Were any leases to which the plan was party in default or uncollectible	2015-09-30	No
Assets. partnership/joint venture interests at end of year	2015-09-30	$26,140
Assets. partnership/joint venture interests at beginning of year	2015-09-30	$683,842
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-09-30	$16,446,509
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-09-30	$26,152,312
Interest on participant loans	2015-09-30	$64,055
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-09-30	$902,183
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-09-30	$14,611,165
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-09-30	$14,611,165
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-09-30	$2,491
Asset value of US Government securities at end of year	2015-09-30	$0
Asset value of US Government securities at beginning of year	2015-09-30	$532,294
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-09-30	$-4,615,743
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-09-30	No
Was there a failure to transmit to the plan any participant contributions	2015-09-30	Yes
Has the plan failed to provide any benefit when due under the plan	2015-09-30	No
Assets. Invements in employer securities at end of year	2015-09-30	$0
Assets. Invements in employer securities at beginning of year	2015-09-30	$8,524,369
Contributions received in cash from employer	2015-09-30	$317,609
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-09-30	$25,054,240
Asset. Corporate debt instrument debt (other) at end of year	2015-09-30	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-09-30	$2,028,599
Assets. Corporate common stocks other than exployer securities at end of year	2015-09-30	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-09-30	$25,008,578
Did the plan have assets held for investment	2015-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-09-30	Disclaimer
Accountancy firm name	2015-09-30	WARREN AVERETT, LLC
Accountancy firm EIN	2015-09-30	454084437
2014 : STERNE AGEE 401K PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-09-30	$835,476
Total unrealized appreciation/depreciation of assets	2014-09-30	$835,476
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$0
Total income from all sources (including contributions)	2014-09-30	$16,709,187
Total loss/gain on sale of assets	2014-09-30	$0
Total of all expenses incurred	2014-09-30	$10,762,301
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-09-30	$10,762,301
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-09-30	$12,108,889
Value of total assets at end of year	2014-09-30	$83,378,593
Value of total assets at beginning of year	2014-09-30	$77,431,707
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-09-30	$0
Total interest from all sources	2014-09-30	$258,706
Total dividends received (eg from common stock, registered investment company shares)	2014-09-30	$1,496,780
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-09-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-09-30	$752,501
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-09-30	$508,747
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-09-30	$510,113
Was this plan covered by a fidelity bond	2014-09-30	Yes
Value of fidelity bond cover	2014-09-30	$1,000,000
If this is an individual account plan, was there a blackout period	2014-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-09-30	Yes
Amount of non-exempt transactions with any party-in-interest	2014-09-30	$2,603,003
Contributions received from participants	2014-09-30	$7,509,719
Participant contributions at end of year	2014-09-30	$1,964,538
Participant contributions at beginning of year	2014-09-30	$2,120,350
Participant contributions at end of year	2014-09-30	$136,088
Participant contributions at beginning of year	2014-09-30	$197,580
Assets. Other investments not covered elsewhere at end of year	2014-09-30	$163,964
Assets. Other investments not covered elsewhere at beginning of year	2014-09-30	$1,015,779
Income. Received or receivable in cash from other sources (including rollovers)	2014-09-30	$4,217,021
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-09-30	$2,656,240
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-09-30	$85,870
Total non interest bearing cash at end of year	2014-09-30	$407,857
Total non interest bearing cash at beginning of year	2014-09-30	$614,351
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-09-30	No
Value of net income/loss	2014-09-30	$5,946,886
Value of net assets at end of year (total assets less liabilities)	2014-09-30	$83,378,593
Value of net assets at beginning of year (total assets less liabilities)	2014-09-30	$77,431,707
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-09-30	No
Were any leases to which the plan was party in default or uncollectible	2014-09-30	No
Assets. partnership/joint venture interests at end of year	2014-09-30	$683,842
Assets. partnership/joint venture interests at beginning of year	2014-09-30	$566,858
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-09-30	$26,152,312
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-09-30	$22,979,420
Interest on participant loans	2014-09-30	$72,254
Income. Interest from US Government securities	2014-09-30	$13,787
Income. Interest from corporate debt instruments	2014-09-30	$163,749
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-09-30	$14,611,165
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-09-30	$13,738,334
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-09-30	$13,738,334
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-09-30	$8,916
Asset value of US Government securities at end of year	2014-09-30	$532,294
Asset value of US Government securities at beginning of year	2014-09-30	$522,735
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-09-30	$2,009,336
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-09-30	No
Was there a failure to transmit to the plan any participant contributions	2014-09-30	Yes
Has the plan failed to provide any benefit when due under the plan	2014-09-30	No
Assets. Invements in employer securities at end of year	2014-09-30	$8,524,369
Assets. Invements in employer securities at beginning of year	2014-09-30	$9,371,524
Contributions received in cash from employer	2014-09-30	$382,149
Income. Dividends from preferred stock	2014-09-30	$31,625
Income. Dividends from common stock	2014-09-30	$712,654
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-09-30	$10,762,301
Asset. Corporate debt instrument debt (other) at end of year	2014-09-30	$2,028,599
Asset. Corporate debt instrument debt (other) at beginning of year	2014-09-30	$1,918,606
Assets. Corporate common stocks other than exployer securities at end of year	2014-09-30	$25,008,578
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-09-30	$23,790,187
Did the plan have assets held for investment	2014-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-09-30	Yes
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-09-30	Disclaimer
Accountancy firm name	2014-09-30	WARREN AVERETT, LLC
Accountancy firm EIN	2014-09-30	454084437
2013 : STERNE AGEE 401K PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total income from all sources (including contributions)	2013-09-30	$18,787,688
Total loss/gain on sale of assets	2013-09-30	$0
Total of all expenses incurred	2013-09-30	$6,188,537
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-09-30	$6,188,537
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-09-30	$11,579,875
Value of total assets at end of year	2013-09-30	$77,431,707
Value of total assets at beginning of year	2013-09-30	$64,832,556
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-09-30	$0
Total interest from all sources	2013-09-30	$7,207,813
Total dividends received (eg from common stock, registered investment company shares)	2013-09-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-09-30	No
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-09-30	$510,113
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-09-30	$465,953
Was this plan covered by a fidelity bond	2013-09-30	Yes
Value of fidelity bond cover	2013-09-30	$1,000,000
If this is an individual account plan, was there a blackout period	2013-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-09-30	No
Contributions received from participants	2013-09-30	$7,454,350
Participant contributions at end of year	2013-09-30	$2,120,350
Participant contributions at beginning of year	2013-09-30	$1,961,909
Participant contributions at end of year	2013-09-30	$197,580
Participant contributions at beginning of year	2013-09-30	$155,909
Assets. Other investments not covered elsewhere at end of year	2013-09-30	$1,015,779
Assets. Other investments not covered elsewhere at beginning of year	2013-09-30	$323,344
Income. Received or receivable in cash from other sources (including rollovers)	2013-09-30	$3,728,621
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-09-30	$85,870
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-09-30	$72,986
Total non interest bearing cash at end of year	2013-09-30	$614,351
Total non interest bearing cash at beginning of year	2013-09-30	$125,308
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-09-30	No
Value of net income/loss	2013-09-30	$12,599,151
Value of net assets at end of year (total assets less liabilities)	2013-09-30	$77,431,707
Value of net assets at beginning of year (total assets less liabilities)	2013-09-30	$64,832,556
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-09-30	No
Were any leases to which the plan was party in default or uncollectible	2013-09-30	No
Assets. partnership/joint venture interests at end of year	2013-09-30	$566,858
Assets. partnership/joint venture interests at beginning of year	2013-09-30	$354,637
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-09-30	$22,979,420
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-09-30	$16,329,080
Interest on participant loans	2013-09-30	$73,853
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-09-30	$13,738,334
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-09-30	$13,797,792
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-09-30	$13,797,792
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-09-30	$7,133,960
Asset value of US Government securities at end of year	2013-09-30	$522,735
Asset value of US Government securities at beginning of year	2013-09-30	$478,750
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-09-30	No
Was there a failure to transmit to the plan any participant contributions	2013-09-30	No
Has the plan failed to provide any benefit when due under the plan	2013-09-30	No
Assets. Invements in employer securities at end of year	2013-09-30	$9,371,524
Assets. Invements in employer securities at beginning of year	2013-09-30	$8,461,933
Contributions received in cash from employer	2013-09-30	$396,904
Employer contributions (assets) at end of year	2013-09-30	$0
Employer contributions (assets) at beginning of year	2013-09-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-09-30	$6,188,537
Asset. Corporate debt instrument debt (other) at end of year	2013-09-30	$1,918,606
Asset. Corporate debt instrument debt (other) at beginning of year	2013-09-30	$2,339,989
Assets. Corporate common stocks other than exployer securities at end of year	2013-09-30	$23,790,187
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-09-30	$19,964,966
Did the plan have assets held for investment	2013-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-09-30	Disclaimer
Accountancy firm name	2013-09-30	WARREN AVERETT, LLC
Accountancy firm EIN	2013-09-30	454084437
2012 : STERNE AGEE 401K PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-09-30	$3,421,008
Total unrealized appreciation/depreciation of assets	2012-09-30	$3,421,008
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-30	$0
Total income from all sources (including contributions)	2012-09-30	$18,297,978
Total loss/gain on sale of assets	2012-09-30	$0
Total of all expenses incurred	2012-09-30	$4,460,897
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-09-30	$4,460,897
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-09-30	$11,046,342
Value of total assets at end of year	2012-09-30	$64,832,556
Value of total assets at beginning of year	2012-09-30	$50,995,475
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-09-30	$0
Total interest from all sources	2012-09-30	$354,174
Total dividends received (eg from common stock, registered investment company shares)	2012-09-30	$991,778
Total dividends received from registered investment company shares (eg mutual funds)	2012-09-30	$379,655
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-09-30	$465,953
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-09-30	$406,628
Was this plan covered by a fidelity bond	2012-09-30	Yes
Value of fidelity bond cover	2012-09-30	$1,000,000
If this is an individual account plan, was there a blackout period	2012-09-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-09-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-09-30	No
Contributions received from participants	2012-09-30	$6,756,574
Participant contributions at end of year	2012-09-30	$1,961,909
Participant contributions at beginning of year	2012-09-30	$1,573,169
Participant contributions at end of year	2012-09-30	$155,909
Participant contributions at beginning of year	2012-09-30	$144,311
Assets. Other investments not covered elsewhere at end of year	2012-09-30	$323,344
Assets. Other investments not covered elsewhere at beginning of year	2012-09-30	$333,878
Income. Received or receivable in cash from other sources (including rollovers)	2012-09-30	$2,908,741
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-09-30	$72,986
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-09-30	$43,918
Other income not declared elsewhere	2012-09-30	$-101,417
Total non interest bearing cash at end of year	2012-09-30	$125,308
Total non interest bearing cash at beginning of year	2012-09-30	$170,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-09-30	No
Income. Non cash contributions	2012-09-30	$965,027
Value of net income/loss	2012-09-30	$13,837,081
Value of net assets at end of year (total assets less liabilities)	2012-09-30	$64,832,556
Value of net assets at beginning of year (total assets less liabilities)	2012-09-30	$50,995,475
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-09-30	No
Were any leases to which the plan was party in default or uncollectible	2012-09-30	No
Assets. partnership/joint venture interests at end of year	2012-09-30	$354,637
Assets. partnership/joint venture interests at beginning of year	2012-09-30	$323,748
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-09-30	$16,329,080
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-09-30	$10,715,147
Interest on participant loans	2012-09-30	$69,505
Interest earned on other investments	2012-09-30	$36,398
Income. Interest from US Government securities	2012-09-30	$28,801
Income. Interest from corporate debt instruments	2012-09-30	$219,406
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-09-30	$13,797,792
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-09-30	$9,915,293
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-09-30	$9,915,293
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-09-30	$64
Asset value of US Government securities at end of year	2012-09-30	$478,750
Asset value of US Government securities at beginning of year	2012-09-30	$322,342
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-09-30	$2,586,093
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-09-30	No
Was there a failure to transmit to the plan any participant contributions	2012-09-30	Yes
Has the plan failed to provide any benefit when due under the plan	2012-09-30	No
Assets. Invements in employer securities at end of year	2012-09-30	$8,461,933
Assets. Invements in employer securities at beginning of year	2012-09-30	$8,757,916
Contributions received in cash from employer	2012-09-30	$416,000
Employer contributions (assets) at end of year	2012-09-30	$0
Employer contributions (assets) at beginning of year	2012-09-30	$550,000
Income. Dividends from preferred stock	2012-09-30	$16,535
Income. Dividends from common stock	2012-09-30	$595,588
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-09-30	$4,460,897
Asset. Corporate debt instrument debt (other) at end of year	2012-09-30	$2,339,989
Asset. Corporate debt instrument debt (other) at beginning of year	2012-09-30	$2,373,209
Assets. Corporate common stocks other than exployer securities at end of year	2012-09-30	$19,964,966
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-09-30	$15,365,666
Did the plan have assets held for investment	2012-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-09-30	Disclaimer
Accountancy firm name	2012-09-30	KPMG, LLC
Accountancy firm EIN	2012-09-30	135565207
2011 : STERNE AGEE 401K PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-09-30	$-1,363,398
Total unrealized appreciation/depreciation of assets	2011-09-30	$-1,363,398
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-09-30	$0
Total income from all sources (including contributions)	2011-09-30	$8,330,861
Total loss/gain on sale of assets	2011-09-30	$0
Total of all expenses incurred	2011-09-30	$4,902,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-09-30	$4,902,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-09-30	$9,429,679
Value of total assets at end of year	2011-09-30	$50,995,475
Value of total assets at beginning of year	2011-09-30	$47,566,614
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-09-30	$0
Total interest from all sources	2011-09-30	$297,386
Total dividends received (eg from common stock, registered investment company shares)	2011-09-30	$780,804
Total dividends received from registered investment company shares (eg mutual funds)	2011-09-30	$267,943
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-09-30	$406,628
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-09-30	$364,338
Was this plan covered by a fidelity bond	2011-09-30	Yes
Value of fidelity bond cover	2011-09-30	$1,000,000
If this is an individual account plan, was there a blackout period	2011-09-30	No
Were there any nonexempt tranactions with any party-in-interest	2011-09-30	No
Contributions received from participants	2011-09-30	$6,149,511
Participant contributions at end of year	2011-09-30	$1,573,169
Participant contributions at beginning of year	2011-09-30	$1,296,712
Participant contributions at end of year	2011-09-30	$144,311
Participant contributions at beginning of year	2011-09-30	$131,234
Assets. Other investments not covered elsewhere at end of year	2011-09-30	$333,878
Assets. Other investments not covered elsewhere at beginning of year	2011-09-30	$287,161
Income. Received or receivable in cash from other sources (including rollovers)	2011-09-30	$2,259,594
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-09-30	$43,918
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-09-30	$31,481
Other income not declared elsewhere	2011-09-30	$63,810
Total non interest bearing cash at end of year	2011-09-30	$170,250
Total non interest bearing cash at beginning of year	2011-09-30	$136,161
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-09-30	No
Income. Non cash contributions	2011-09-30	$43,198
Value of net income/loss	2011-09-30	$3,428,861
Value of net assets at end of year (total assets less liabilities)	2011-09-30	$50,995,475
Value of net assets at beginning of year (total assets less liabilities)	2011-09-30	$47,566,614
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-09-30	No
Were any leases to which the plan was party in default or uncollectible	2011-09-30	No
Assets. partnership/joint venture interests at end of year	2011-09-30	$323,748
Assets. partnership/joint venture interests at beginning of year	2011-09-30	$769,013
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-09-30	$10,715,147
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-09-30	$9,903,440
Interest on participant loans	2011-09-30	$55,322
Interest earned on other investments	2011-09-30	$19,750
Income. Interest from US Government securities	2011-09-30	$10,205
Income. Interest from corporate debt instruments	2011-09-30	$212,009
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-09-30	$9,915,293
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-09-30	$8,410,610
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-09-30	$8,410,610
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-09-30	$100
Asset value of US Government securities at end of year	2011-09-30	$322,342
Asset value of US Government securities at beginning of year	2011-09-30	$452,331
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-09-30	$-877,420
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-09-30	No
Was there a failure to transmit to the plan any participant contributions	2011-09-30	Yes
Has the plan failed to provide any benefit when due under the plan	2011-09-30	No
Assets. Invements in employer securities at end of year	2011-09-30	$8,757,916
Assets. Invements in employer securities at beginning of year	2011-09-30	$7,935,936
Contributions received in cash from employer	2011-09-30	$977,376
Employer contributions (assets) at end of year	2011-09-30	$550,000
Employer contributions (assets) at beginning of year	2011-09-30	$450,169
Income. Dividends from preferred stock	2011-09-30	$22,536
Income. Dividends from common stock	2011-09-30	$490,325
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-09-30	$4,902,000
Asset. Corporate debt instrument debt (other) at end of year	2011-09-30	$2,373,209
Asset. Corporate debt instrument debt (other) at beginning of year	2011-09-30	$2,457,612
Assets. Corporate common stocks other than exployer securities at end of year	2011-09-30	$15,365,666
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-09-30	$14,940,416
Did the plan have assets held for investment	2011-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-09-30	Disclaimer
Accountancy firm name	2011-09-30	KPMG, LLC
Accountancy firm EIN	2011-09-30	135565207

Form 5500 Responses for STERNE AGEE 401K PLAN

2015: STERNE AGEE 401K PLAN 2015 form 5500 responses
2015-10-01	Type of plan entity	Single employer plan
2015-10-01	Submission has been amended	No
2015-10-01	This submission is the final filing	Yes
2015-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-10-01	Plan is a collectively bargained plan	No
2015-10-01	Plan funding arrangement – Trust	Yes
2015-10-01	Plan benefit arrangement - Trust	Yes
2014: STERNE AGEE 401K PLAN 2014 form 5500 responses
2014-10-01	Type of plan entity	Single employer plan
2014-10-01	Submission has been amended	No
2014-10-01	This submission is the final filing	No
2014-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-10-01	Plan is a collectively bargained plan	No
2014-10-01	Plan funding arrangement – Trust	Yes
2014-10-01	Plan benefit arrangement - Trust	Yes
2013: STERNE AGEE 401K PLAN 2013 form 5500 responses
2013-10-01	Type of plan entity	Single employer plan
2013-10-01	Submission has been amended	No
2013-10-01	This submission is the final filing	No
2013-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-10-01	Plan is a collectively bargained plan	No
2013-10-01	Plan funding arrangement – Trust	Yes
2013-10-01	Plan benefit arrangement - Trust	Yes
2012: STERNE AGEE 401K PLAN 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Submission has been amended	No
2012-10-01	This submission is the final filing	No
2012-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-10-01	Plan is a collectively bargained plan	No
2012-10-01	Plan funding arrangement – Trust	Yes
2012-10-01	Plan benefit arrangement - Trust	Yes
2011: STERNE AGEE 401K PLAN 2011 form 5500 responses
2011-10-01	Type of plan entity	Single employer plan
2011-10-01	Submission has been amended	No
2011-10-01	This submission is the final filing	No
2011-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-10-01	Plan is a collectively bargained plan	No
2011-10-01	Plan funding arrangement – Trust	Yes
2011-10-01	Plan benefit arrangement - Trust	Yes
2009: STERNE AGEE 401K PLAN 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Submission has been amended	No
2009-10-01	This submission is the final filing	No
2009-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-10-01	Plan is a collectively bargained plan	No
2009-10-01	Plan funding arrangement – Trust	Yes
2009-10-01	Plan benefit arrangement - Trust	Yes
2008: STERNE AGEE 401K PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No

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Company Name:	STERNE AGEE GROUP, INC.
Employer identification number (EIN):	630463600
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2643001

Plan id#	Filing Submission Date	Name of Administrator
001	2015-10-01	KRISTEN JOHNSON
001	2014-10-01	KRISTEN JOHNSON
001	2013-10-01	ROBERT CORNE
001	2012-10-01	TAYLOR HAMMONS
001	2011-10-01	TAYLOR HAMMONS
001	2009-10-01	TAYLOR HAMMONS
001	2008-10-01