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Stephen Richard Galvin

Galvin, Gaustad & Stein, LLC

Scottsdale, AZ

Ann Arbor, MI

Broomfield, CO

Fort Collins, CO

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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
MI RA APPROVED 2026-06-01
CO RA APPROVED 2025-01-01
OH RA APPROVED 2010-09-30
AZ RA APPROVED 2010-09-29
  • MI RA
    APPROVED
    Since 2026-06-01
  • CO RA
    APPROVED
    Since 2025-01-01
  • OH RA
    APPROVED
    Since 2010-09-30
  • AZ RA
    APPROVED
    Since 2010-09-29

Branch Locations

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

455 E Eisenhower Pkwy Suite 300 , Ann Arbor, MI 48108 • United States

11001 W. 120Th Ave Suite 400, Broomfield, CO 80021 • United States

2850 E Harmony Road Suite 201, Fort Collins, CO 80528 • 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, Llc Scottsdale AZ 06/2010 Present
Previous Registrations
  • 2008-01-07 → 2010-09-28
    Aegis Financial Group, Inc.
    Scottsdale, AZ
  • 2002-11-29 → 2007-12-31
    Aspen Management Group Ltd
    Phoenix, AZ
  • 1998-01-16 → 2002-12-31
    Fsc Securities Corporation
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-06-07
S63 Uniform Securities Agent State Law Examination 1998-12-03
  • S65 Uniform Investment Adviser Law Examination
    2007-06-07
  • S63 Uniform Securities Agent State Law Examination
    1998-12-03

View on SEC IAPD

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Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

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