Stephen R. Stanford

THE PUTNEY FINANCIAL GROUP LLC

Fairhope, AL

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CRD#: 1686790

Professional summary

Stephen Russell Stanford, who also goes by Steve Stanford, is a registered financial advisor currently at THE PUTNEY FINANCIAL GROUP LLC located in Fairhope, Alabama and ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Stanford

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

THE NAME STANFORD INVESTMENTS LLC. WILL BE USED TO PROCESS EARNINGS FROM SECURITIES BUSINESS. THE ENTITY DOES NOT PRODUCE ANY BUSINESS. I have 50% ownership The Putney Financial Group - Registered Investment Advisory firm. Business Phone: 510-672-15,100 Smith Ranch Road, San Rafael, CA 94903, Position: Investment Advisor Rep, Approximate Hours Worked Weekly: 5-10, Start date: 4/2025.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Russell Stanford's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 4, 2025 - Present

THE PUTNEY FINANCIAL GROUP LLC

RIA

CRD#: 111639

Fairhope, AL

Current

December 5, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607

CRD#: 44856

Chicago, IL

Past

July 25, 2019 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

RIA

CRD#: 13980

FAIRHOPE, AL

Past

March 18, 2013 - December 31, 2024

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

March 8, 2012 - November 13, 2013

EAST / WEST SECURITIES CORP.

CRD#: 157346

BOLIGEE, AL

Past

September 2, 2009 - March 8, 2012

WHITE PACIFIC SECURITIES, INC.

CRD#: 42505

SAN FRANCISCO, CA

Past

March 19, 2004 - February 25, 2005

1ST DISCOUNT BROKERAGE, INC.

RIA

CRD#: 39164

BIRMINGHAM, AL

Past

August 21, 2002 - September 2, 2009

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

BIRMINGHAM, AL

Past

January 17, 2001 - August 21, 2002

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

Past

August 14, 2000 - January 17, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 13, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

October 25, 1993 - April 1, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 4, 1989 - November 2, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 21, 1987 - November 12, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE PUTNEY FINANCIAL GROUP LLC

CRD#: 111639 / SEC#: 801-62638

RIA

Registered Investment Advisory firm - (1/9/2004 Approved)

California

Registered Investment Advisory firm - (1/13/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/12/2024)

California
(1/3/2025)

IAR

California
(4/4/2025)

Colorado
(1/7/2025)

Florida
(1/6/2025)

Georgia
(1/6/2025)

Missouri
(1/3/2025)

New Jersey
(1/3/2025)

New Mexico
(1/3/2025)

New York
(1/5/2025)

North Carolina
(1/3/2025)

Oklahoma
(1/6/2025)

Tennessee
(1/6/2025)

Texas
(1/3/2025)

Virginia
(1/3/2025)

Wisconsin
(1/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/30/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/3/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE PUTNEY FINANCIAL GROUP LLC

CRD#: 111639 / SEC#: 801-62638

RIA

Registered Investment Advisory firm - (1/9/2004 Approved)

California

Registered Investment Advisory firm - (1/13/2004 Terminated)

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Contact information

Main Address

100 Smith Ranch Road Suite 110, San Rafael, CA 94903

Mailing Address

Phone number

(415) 460-1990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PUTNEY REVISED PART II OF FORM ADV APRIL 2025 (5/5/2025)

Regulatory assets under management

Total Number of Accounts	992
AUM (Assets Under Management)	$ 187,290,545

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen R. Stanford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Russell Stanford's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

PORTSMOUTH FINANCIAL SERVICES

PORTSMOUTH FINANCIAL SERVICES

EAST / WEST SECURITIES CORP.

WHITE PACIFIC SECURITIES, INC.

1ST DISCOUNT BROKERAGE, INC.

1ST DISCOUNT BROKERAGE, INC.

ACUMENT SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SHERWOOD CAPITAL, INC.

Primary Firm SEC Registration

THE PUTNEY FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2019

Series 63

Date: 9/10/1987

SIE

Date: 10/1/2018

Series 31

Date: 1/30/1996

Series 7

Date: 7/18/1987

Series 24

Date: 11/3/2004

FINRA

Current Firm

THE PUTNEY FINANCIAL GROUP LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE PUTNEY FINANCIAL GROUP LLC

TRUST BUT VERIFY

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