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Galvin, Gaustad & Stein, LLC CRD 153410
$1.35B regulatory AUM 1 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-03-04 |
| CA | RA | APPROVED | 2025-12-18 |
| OH | RA | APPROVED | 2025-12-18 |
Branch Locations
114 East Aurora Road Suite 100, Sagamore Hills, OH 44067-2078 • United States
7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mercap Securities, Llc | Paoli | PA | 08/2013 | 06/2020 |
| The Westerman Group | Sagamore Hills | OH | 07/2005 | 03/2026 |
| Galvin, Gaustad , & Stein Llc | Scottsdale | AZ | 12/2025 | Present |
Galvin, Gaustad, & Stein, LLC; Investment related; 7377 E Double Tree Ranch Rd Scottsdale AZ 85258; Investment Adviser Representative; Start Date 11/26/2025; provide advisory services and wealth management for clients
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-28 |
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