Stephen Stanford
Stephen Stanford is a registered investment advisor at The Putney Financial Group LLC, based in Fairhope, AL, with 37 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 225 clients with $190M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| $0K - $500K | 2.00% |
| $500K - $1.0M | 1.35% |
| $1.0M - $1.5M | 1.20% |
| $1.5M - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.85% |
| $5M+ | 0.85% |
Fee can be calculated on either an individual or aggregate account balance. Fees negotiable over $5 million.
Fee Estimator
Location
Fairhope, AL
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2023Employment Separation After Allegations
December 2000Customer Dispute
December 1999Other 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
Arete Wealth Management, LLC
Arete Wealth Management, LLCBroker
Previous Registrations
Portsmouth Financial Services, INC.
Portsmouth Financial ServicesBroker
East / West Securities CORP.Broker
White Pacific Securities, INC.Broker
1st Discount Brokerage, INC.
1st Discount Brokerage, INC.Broker
Acument Securities, INC.Broker
Painewebber IncorporatedBroker
J.C. Bradford & CO.Broker
Smith Barney INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Sherwood Capital, INC.Broker
State Registrations15 states
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.