Unclaimed Profile

Stephen Lee Gaustad

GALVIN, GAUSTAD & STEIN, LLC·SCOTTSDALE, Arizona

SIE, Series 2, Series 7, Series 24, Series 63, Series 65Clean record26 years registeredGALVIN, GAUSTAD & STEIN, LLC

7377 E. DOUBLETREE RANCH ROAD, SCOTTSDALE, AZ 85258CRD# 1150891Firm CRD# 153410

Profile Verification

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

Identity

Stephen Lee Gaustad · SCOTTSDALE, AZ

Registration

CRD #1150891 · GALVIN, GAUSTAD & STEIN, LLC · 26 years registered

Brand Profile

Not yet started

Career History

GALVIN, GAUSTAD & STEIN, LLC

Oct 2010 – present

AEGIS FINANCIAL GROUP, INC.

Sep 2008 – Sep 2010

PHOENIZ, AZ

ING FINANCIAL ADVISERS, LLC

Aug 2000 – Sep 2008

PHOENIX, AZ

FINANCIAL NETWORK INVESTMENT CORPORATION

Mar 2000 – Sep 2008

PARADISE VALLEY, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 2

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · March 27, 2000

Years registered · 26

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 Lee Gaustad offer?

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

What are Stephen Lee Gaustad's credentials?

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

Where is Stephen Lee Gaustad located?

Stephen Lee Gaustad 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 Lee Gaustad charge for services?

Stephen Lee Gaustad'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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