Branch offices
0 offices
FINRA: Small firm
CRD #791 · FINRA BrokerCheck + SEC IAPD
Sterne, Agee & Leach, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sterne, Agee & Leach, Inc. ranks #90 of 20,055 by disclosure count (most disclosures first). Sterne, Agee & Leach, Inc. carries 54 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 54
- disclosures
- #90 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 791 Sterne, Agee & Leach, Inc.
Sterne, Agee & Leach, Inc. · Grade F · 54 disc · 54.00/office · Single-office firm
- CRD 791
- GRADE F
- DISC 54
- REG 48
- ARB 6
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #90 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Cowen and Company (54.00 disc/office)
Sterne, Agee & Leach, Inc. ranks #90 of 20,055 by disclosure count among graded broker-dealers; heavy load at 54.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
54 events
On FINRA BrokerCheck
Regulatory events
48 actions
89% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 48 |
| Arbitrations | 6 |
| Civil Events | 0 |
| Total | 54 |
Counts for Sterne, Agee & Leach, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 48 Arbitration 6 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 791
Regulator-heavy mix
Sterne, Agee & Leach, Inc. in the heavier-disclosure third
Sterne, Agee & Leach, Inc. carries 54 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#90 of 20,055). Regulator-initiated events are 89% of the book (48 regulatory / 6 arbitration / 0 civil).
89% of Sterne, Agee & Leach, Inc.'s 54 disclosures are regulator-initiated (48 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sterne, Agee & Leach, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Sterne, Agee & Leach, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sterne, Agee & Leach, Inc. ranks #90 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Sterne, Agee & Leach, Inc.?
A grade of F reflects Sterne, Agee & Leach, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 54 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sterne, Agee & Leach, Inc. have?
Sterne, Agee & Leach, Inc. has 54 total FINRA disclosures, including 48 regulatory events, 6 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sterne, Agee & Leach, Inc.?
Sterne, Agee & Leach, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Sterne, Agee & Leach, Inc.'s disciplinary record?
You can verify Sterne, Agee & Leach, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 791. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Sterne, Agee & Leach, Inc.'s 54 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sterne, Agee & Leach, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Sterne, Agee & Leach, Inc. carries 54 disclosures across 0 branch offices (about 54.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Cowen and Company - 54.00 disclosures/office, nearest single-office firm peer to Sterne, Agee & Leach, Inc.'s 54.00
- ABN Amro Incorporated - 55.00 disclosures/office, nearest single-office firm peer to Sterne, Agee & Leach, Inc.'s 54.00
- First Montauk Securities Corp. - 53.00 disclosures/office, nearest single-office firm peer to Sterne, Agee & Leach, Inc.'s 54.00
- Red Flags in Advisor Records - How to read Sterne, Agee & Leach, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 54 disclosures behind Sterne, Agee & Leach, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sterne, Agee & Leach, Inc..
- Compare firms - put Sterne, Agee & Leach, Inc. next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.