Steve Putnam is an accomplished Senior Executive and Consultant with more than 40 years of success within the financial services industry. Leveraging extensive experience leading a firm with more than 2,000 financial advisors and assisting clients to achieve their investment objectives, he is a valuable asset for companies seeking expert advisory in the areas of employee stock ownership plans (ESOP), M&A activity, financial management, or growth strategy. His broad areas of expertise include wealth management, analytics, business planning, M&A, investments, securities, financial analysis, private equity, strategic planning, corporate development, and risk management.
Throughout his executive career, Mr. Putnam has held leadership positions at organizations including Putnam Dispute Resolution LLC, Raymond James Financial Services Inc., F. L. Putnam Securities, and the National Association of Securities Dealers Inc. As President of Putnam Dispute Resolution since 2008, he leads a mediation firm providing dispute services, witness preparation, and business advisory with a large client base and strong client retention. He has also been a Financial Advisor with Raymond James Financial Services since 1983, where he has helped build an independent contractor firm and guided a merger with another firm, has served in CEO and COO roles, and introduced compliance systems for dealer brokers. He also oversaw the start-up and development of a foreign broker deal in London and assisted with another broker deal in Canada.
Steve holds a BA in History from Bowdoin College. He also served in the military as an Airborne Ranger, retiring as a Major. He has held board positions with a number of organizations including Scholarship America, Boston Stock Exchange, Regional Investment Bankers Inc. (RIBA) and the National Association of Securities Dealers (since renamed FINRA).
Financial Risk Management