Unclaimed Profile

Harold Lowell Wainwright

STERNE AGEE INVESTMENT ADVISORS, INC.·BIRMINGHAM, Alabama

SIE, Series 7, Series 63, Series 6527 years registeredSTERNE AGEE INVESTMENT ADVISORS, INC.

800 SHADES CREEK PARKWAY, BIRMINGHAM, AL 35209CRD# 1277248Firm CRD# 130888

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Harold Lowell Wainwright · BIRMINGHAM, AL

Registration

CRD #1277248 · STERNE AGEE INVESTMENT ADVISORS, INC. · 27 years registered

Brand Profile

Not yet started

Career History

STONEX ADVISORS INC.

Jun 2016 – present

STERNE AGEE ASSET MANAGEMENT, INC.

Mar 2005 – Jun 2016

BIRMINGHAM, AL

UBS PAINEWEBBER INC.

Dec 1998 – Apr 2003

LOUISVILLE, KY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · December 22, 1998

Years registered · 27

Disclosure History

2005Customer Dispute·Settled

1998Customer Dispute·Denied

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

STERNE AGEE ASSET MANAGEMENT, INC.

CRD 130888 · SEC 801-63297

AUM

$10M

Regulatory assets under management

Employees

99 client accounts

Services offered by STERNE AGEE ASSET MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at STERNE AGEE ASSET MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Harold Lowell Wainwright offer?

Harold Lowell Wainwright specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BIRMINGHAM, Alabama for a consultation.

What are Harold Lowell Wainwright's credentials?

Harold Lowell Wainwright is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Harold Lowell Wainwright located?

Harold Lowell Wainwright is based in BIRMINGHAM, Alabama, working with STERNE AGEE INVESTMENT ADVISORS, INC.. Their office serves clients in the BIRMINGHAM metropolitan area and surrounding communities.

How does Harold Lowell Wainwright charge for services?

Harold Lowell Wainwright's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STERNE AGEE INVESTMENT ADVISORS, INC.?

STERNE AGEE INVESTMENT ADVISORS, INC. has approximately 8 employees and manages $10M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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