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Detailed Report
WILLIAM WARREN BARBOUR RHETT
CRD#: 1214426
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 SHADES CREEK PARKWAY
SUITES 750 & 775
BIRMINGHAM, AL 35209
Registration History
1985199019952000200520102015202020252 FIRMS2015 - Present (9 years)BSTERNE, AGEE & LEACH, INC. (CRD# 791)1984 - 2015 (31 years)IASTERNE AGEE ASSET MANAGEMENT, INC. (CRD# 130888)2005 - 2015 (10 years)
License(s)

State Registrations

B
Alabama 7/7/2015
B
Tennessee 7/7/2015
IA
Alabama 7/7/2015
B
Texas 7/7/2015
B
New York 7/7/2015

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
800 SHADES CREEK PARKWAY SUITES 750 & 775, BIRMINGHAM, AL 35209
Registered with this firm since 7/7/2015
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
800 SHADES CREEK PARKWAY SUITES 750 & 775, BIRMINGHAM, AL 35209
Registered with this firm since 7/7/2015
Previous Registration(s)
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IA
 04/22/2005 - 07/07/2015 STERNE AGEE ASSET MANAGEMENT, INC. (CRD#:130888) BIRMINGHAM, AL
B
 02/23/1984 - 07/07/2015 STERNE, AGEE & LEACH, INC. (CRD#:791) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.