SS

Stephen Russell Stanford

36 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
6 advisors
Number of Clients
225 clients
Average Client Portfolio
$832K average
Assets Under Management
$187.3M

Fee Structure

Minimum Investment:$250K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual 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%

Fees negotiable for accounts over $5 million.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee

Investment Supervisory Services (ISS) fees are based on a percentage of assets under management. For accounts over $5 million, fees are negotiable. Financial planning fees are generally included in the investment advisory fee, but may be charged hourly or as a fixed fee for standalone services. A minimum of $250,000 of assets under management is generally required to establish a client relationship, but this may be negotiable.

Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & CoachingHigh Net Worth
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Advisor Information

Office location

Fairhope, AL

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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
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 · 9 mos
Arete Wealth Management, LLC
December 2024 - Present · 1 yr 1 mo
Arete Wealth Management, LLCBroker
December 2024 - Present · 1 yr 1 mo
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 Incorporated Broker
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 Incorporated Broker
May 1989 - November 1993 · 4 yrs 6 mos
Sherwood Capital, INC.Broker
July 1987 - November 1987 · 4 mos
State Registrations15 states
ALCACOFLGAMONCNJNMNYOKTNTXVAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Stephen Russell Stanford - Financial Advisor | AdvisorDiscover