Unclaimed Profile

Stephen Richard Galvin

GALVIN, GAUSTAD & STEIN, LLC·SCOTTSDALE, Arizona

SIE, Series 7, Series 24, Series 63, Series 65Clean record28 years registeredGALVIN, GAUSTAD & STEIN, LLC

7377 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ 85258CRD# 1346615Firm CRD# 153410

Profile Verification

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

Identity

Stephen Richard Galvin · SCOTTSDALE, AZ

Registration

CRD #1346615 · GALVIN, GAUSTAD & STEIN, LLC · 28 years registered

Brand Profile

Not yet started

Career History

GALVIN, GAUSTAD & STEIN, LLC

Sep 2010 – present

AEGIS FINANCIAL GROUP, INC.

Jan 2008 – Sep 2010

PHOENIX, AZ

ASPEN MANAGEMENT GROUP LTD

Nov 2002 – Dec 2007

PHOENIX, AZ

FSC SECURITIES CORPORATION

Jan 1998 – Dec 2002

SCOTTSDALE, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 16, 1998

Years registered · 28

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 Stephen Richard Galvin offer?

Stephen Richard Galvin specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Stephen Richard Galvin's credentials?

Stephen Richard Galvin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Richard Galvin located?

Stephen Richard Galvin 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 Stephen Richard Galvin charge for services?

Stephen Richard Galvin'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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