Stephen L. Gaustad

GALVIN, GAUSTAD & STEIN

New York, NY 10022

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CRD#: 1150891

Professional summary

Stephen Lee Gaustad, who also goes by Stephen L Gaustad, Stephen Lee Gaustad, Stephen Gaustad, Steve Gaustad, Stephen Lee Gustad, is a registered financial advisor currently at GALVIN, GAUSTAD & STEIN, LLC located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen L Gaustad | Stephen Lee Gaustad | Stephen Gaustad | Steve Gaustad | Stephen Lee Gustad

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee Gaustad's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 22, 2010 - Present

GALVIN, GAUSTAD & STEIN, LLC

Office #1: 477 Madison Avenue 6th Floor, New York, NY, 10022Office #2: 606 Liberty Ave 3rd Floor, Pittsburgh, PA 15222

RIA

CRD#: 153410

New York, NY

Past

December 6, 2011 - December 9, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

SCOTTSDALE, AZ

Past

September 15, 2008 - September 28, 2010

AEGIS FINANCIAL GROUP, INC.

RIA

CRD#: 115478

PHOENIZ, AZ

Past

September 10, 2008 - December 7, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

SCOTTSDALE, AZ

Past

August 14, 2000 - September 11, 2008

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

PHOENIX, AZ

Past

March 27, 2000 - September 17, 2008

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PARADISE VALLEY, AZ

Past

September 30, 1999 - September 17, 2008

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PHOENIX, AZ

Past

January 1, 1999 - September 25, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

October 15, 1993 - September 11, 2008

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

PHOENIX, AZ

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GALVIN, GAUSTAD & STEIN, LLC

GALVIN, GAUSTAD & STEIN, L.L.C. | GALVIN, GAUSTAD & STEIN, LLC

CRD#: 153410 / SEC#: 801-71464

RIA

Registered Investment Advisory firm - (6/7/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/22/2010)

IAR

New York
(5/17/2022)

IAR

Pennsylvania
(12/4/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 2/3/1982

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2005

General Securities Principal Examination

Current Firm

GALVIN, GAUSTAD & STEIN, LLC

GALVIN, GAUSTAD & STEIN, L.L.C. | GALVIN, GAUSTAD & STEIN, LLC

CRD#: 153410 / SEC#: 801-71464

RIA

Registered Investment Advisory firm - (6/7/2010 Approved)

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Contact information

Main Address

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

Mailing Address

Phone number

(480) 776-1445

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (4/8/2025)

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 1,224,628,967

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Stephen L. Gaustad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee Gaustad's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOOTHILL SECURITIES, INC.

AEGIS FINANCIAL GROUP, INC.

FSC SECURITIES CORPORATION

VOYA FINANCIAL PARTNERS, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

GALVIN, GAUSTAD & STEIN, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/1998

Series 63

Date: 12/10/1993

SIE

Date: 12/9/2016

Series 7

Date: 10/22/1998

Series 2

Date: 2/3/1982

Series 24

Date: 12/15/2005

Current Firm

GALVIN, GAUSTAD & STEIN, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALVIN, GAUSTAD & STEIN, LLC

TRUST BUT VERIFY

Contact information

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