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Mark Paul Stein

Galvin, Gaustad & Stein, LLC

Boise, ID

Scottsdale, AZ

Bellevue, WA

Beverly Hills, CA

Scottsdale, AZ

CRD 1153586

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Employer firm

Galvin, Gaustad & Stein, LLC CRD 153410

$1.35B regulatory AUM 1 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Galvin, Gaustad & Stein, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-08-24
ID RA APPROVED 2025-10-19
WA RA APPROVED 2022-08-16
TX RA APPROVED_RES 2014-02-03
AZ RA APPROVED 2010-10-22
  • CA RA
    APPROVED
    Since 2026-08-24
  • ID RA
    APPROVED
    Since 2025-10-19
  • WA RA
    APPROVED
    Since 2022-08-16
  • TX RA
    APPROVED_RES
    Since 2014-02-03
  • AZ RA
    APPROVED
    Since 2010-10-22

Branch Locations

800 W. Main Street Suite 1460, Boise, ID 83702 • United States

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

14205 Se 36Th Street Suite 100 - Pmb 391, Bellevue, WA 98006 • United States

9595 Wilshire Blvd. #900, Beverly Hills, CA 90212 • United States

Scottsdale, AZ • 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
Foothill Securities, Inc. Scottsdale AZ 12/2011 12/2016
Galvin, Gaustad, & Stein, L.L.C. Scottsdale AZ 06/2010 Present
Canada Vistas Hoa Scottsdale AZ 01/2011 01/2017
Mark Stein- Insurance Sales Scottsdale AZ 01/1978 01/2019
  • 12/2011 → 12/2016
    Foothill Securities, Inc.
    Scottsdale, AZ
  • 06/2010 → Present
    Galvin, Gaustad, & Stein, L.L.C.
    Scottsdale, AZ
  • 01/2011 → 01/2017
    Canada Vistas Hoa
    Scottsdale, AZ
  • 01/1978 → 01/2019
    Mark Stein- Insurance Sales
    Scottsdale, AZ
Previous Registrations
  • 2004-03-11 → 2010-09-28
    Aegis Financial Group, Inc.
    Phoenix, AZ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-10-30
  • S63 Uniform Securities Agent State Law Examination
    1991-10-30
Designations
  • Certified Financial Planner
Other Names
  • Mark P Stein

View on SEC IAPD

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