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Stephen Stanford

The Putney Financial Group LLC
37 Years of Experience
Fairhope, AL
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Stephen Stanford is a registered investment advisor at The Putney Financial Group LLC, based in Fairhope, AL, with 37 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 215 clients with $210M in assets under management.

The Putney Financial Group LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6 advisors
Number of Clients
215 clients
Average Client Portfolio
$955K average
Assets Under Management
$205.4M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
$0K - $500K2.00%
$500K - $1.0M1.35%
$1.0M - $1.5M1.20%
$1.5M - $3.0M1.00%
$3.0M - $5.0M0.85%
$5M+0.85%

Fee can be calculated on either an individual or aggregate account balance. Fees negotiable over $5 million.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Fairhope, AL

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2023
Settled
Employment Separation After Allegations
December 2000
Customer Dispute
December 1999
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen has 50% ownership in The Name Stanford Investments LLC, which is used to process earnings from securities business but does not produce any business. He is also an Investment Advisor Rep at The Putney Financial Group, dedicating a few hours per week.

Employment History
Current Registrations
The Putney Financial Group LLC
April 2025 - Present · 1 yr 6 mos
Arete Wealth Management, LLC
December 2024 - Present · 1 yr 10 mos
Arete Wealth Management, LLCBroker
December 2024 - Present · 1 yr 10 mos
Previous Registrations
Portsmouth Financial Services, INC.
July 2019 - December 2024 · 5 yrs 5 mos
Portsmouth Financial ServicesBroker
March 2013 - December 2024 · 11 yrs 9 mos
East / West Securities CORP.Broker
March 2012 - November 2013 · 1 yr 8 mos
White Pacific Securities, INC.Broker
September 2009 - March 2012 · 2 yrs 6 mos
1st Discount Brokerage, INC.
March 2004 - February 2005 · 11 mos
1st Discount Brokerage, INC.Broker
August 2002 - September 2009 · 7 yrs 1 mo
Acument Securities, INC.Broker
January 2001 - August 2002 · 1 yr 7 mos
Painewebber IncorporatedBroker
August 2000 - January 2001 · 5 mos
J.C. Bradford & CO.Broker
March 1998 - August 2000 · 2 yrs 5 mos
Smith Barney INC.Broker
October 1993 - April 1998 · 4 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1989 - November 1993 · 4 yrs 6 mos
Sherwood Capital, INC.Broker
July 1987 - November 1987 · 4 mos
State Registrations18 states
ALCACOFLGAMIMONCNJNMNVNYOKTNTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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