Unclaimed Profile

Mark Paul Stein

GALVIN, GAUSTAD & STEIN, LLC·SCOTTSDALE, Arizona

SIE, Series 7, Series 63CFPClean record22 years registeredGALVIN, GAUSTAD & STEIN, LLC

7377 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ 85258CRD# 1153586Firm CRD# 153410

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Paul Stein · SCOTTSDALE, AZ

Registration

CRD #1153586 · GALVIN, GAUSTAD & STEIN, LLC · 22 years registered

Brand Profile

Not yet started

Career History

GALVIN, GAUSTAD & STEIN, LLC

Oct 2010 – present

AEGIS FINANCIAL GROUP, INC.

Mar 2004 – Sep 2010

PHOENIX, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · March 11, 2004

Years registered · 22

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GALVIN, GAUSTAD & STEIN, LLC

CRD 153410 · SEC 801-71464

AUM

$1.2B

Regulatory assets under management

Employees

1,942 client accounts

Services offered by GALVIN, GAUSTAD & STEIN, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at GALVIN, GAUSTAD & STEIN, LLC →

Introduction

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Frequently Asked Questions

What services does Mark Paul Stein offer?

Mark Paul Stein specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Mark Paul Stein's credentials?

Mark Paul Stein holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Paul Stein located?

Mark Paul Stein is based in SCOTTSDALE, Arizona, working with GALVIN, GAUSTAD & STEIN, LLC. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.

How does Mark Paul Stein charge for services?

Mark Paul Stein's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GALVIN, GAUSTAD & STEIN, LLC?

GALVIN, GAUSTAD & STEIN, LLC has approximately 14 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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