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Stephen Lee Gaustad

Galvin, Gaustad & Stein, LLC

Sewickley, PA

Scottsdale, AZ

Pittsburgh, PA

New York, NY

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Current Employers
Galvin, Gaustad & Stein, Llc

7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-05-17
PA RA APPROVED 2019-12-04
AZ RA APPROVED 2010-10-22
  • NY RA
    APPROVED
    Since 2022-05-17
  • PA RA
    APPROVED
    Since 2019-12-04
  • AZ RA
    APPROVED
    Since 2010-10-22

Branch Locations

Sewickley, PA • United States

7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258 • United States

606 Liberty Ave 3Rd Floor, Pittsburgh, PA 15222 • United States

477 Madison Avenue, 6Th Floor, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Galvin, Gaustad & Stein, Llc Scottsdale AZ 09/2010 Present
Foothill Securities, Inc. Scottsdale AZ 12/2011 12/2016
Brokerage Professional, Inc Scottsdale AZ 01/1997 09/2020
Black, Gould & Associates Scottsdale AZ 01/2002 09/2020
  • 09/2010 → Present
    Galvin, Gaustad & Stein, Llc
    Scottsdale, AZ
  • 12/2011 → 12/2016
    Foothill Securities, Inc.
    Scottsdale, AZ
  • 01/1997 → 09/2020
    Brokerage Professional, Inc
    Scottsdale, AZ
  • 01/2002 → 09/2020
    Black, Gould & Associates
    Scottsdale, AZ
Previous Registrations
  • 2008-09-15 → 2010-09-28
    Aegis Financial Group, Inc.
    Phoeniz, AZ
  • 2000-03-27 → 2008-09-17
    Cetera Wealth Services, Llc
    Phoenix, AZ
    Phoenix, AZ
    Paradise Valley, AZ
    Phoenix, AZ
  • 2000-08-14 → 2008-09-11
    Voya Financial Partners, Llc
    Phoenix, AZ
    Phoenix, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-18
S63 Uniform Securities Agent State Law Examination 1993-12-10
  • S65 Uniform Investment Adviser Law Examination
    1998-12-18
  • S63 Uniform Securities Agent State Law Examination
    1993-12-10
Other Names
  • Steve Gaustad
  • Stephen Lee Gustad
  • Stephen L Gaustad
  • Stephen Lee Gaustad
  • Stephen Gaustad

View on SEC IAPD

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