Mark P. Stein
GALVIN, GAUSTAD & STEIN | Principal
Scottsdale, AZ 85258
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CRD#: 1153586
Professional summary
Mark Paul Stein, CFP®, who also goes by Mark P Stein, is a registered financial advisor currently at GALVIN, GAUSTAD & STEIN, LLC located in Scottsdale, Arizona.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Mark P. Stein is a long time Chartered Life Underwriter®, CERTIFIED FINANCIAL PLANNER professional and Registered Investment Advisor. Prior to the formation of Galvin, Gaustad & Stein, LLC, Mr. Stein was President of AeGIS Financial Group, Inc. for 18 years. Highly respected on the national front for more than 40 years, he is a highly sought-after public speaker for accounting and consumer groups, is on the Arizona Family College Savings Program Oversight Committee (Arizona's 529 Plan) and past President of the Greater Phoenix Financial Planning Association. He has written articles on various financial topics and was a renowned host of a financial planning radio program for 10 years.
Question & Answer
What are your service offerings?
Financial planning
Philanthropic services
Trading individual securities
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Mark P Stein
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Paul Stein's 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®
CFP®
Start date: 1998
Experience
Current
October 22, 2010 - Present
GALVIN, GAUSTAD & STEIN, LLC
Office #1: 7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258Office #2: 9595 Wilshire Blvd. #900, Beverly Hills, CA 90212Office #4: 800 W. Main Street Suite 1460, Boise, ID 83702Office #5: 14205 Se 36th Street Suite 100, Bellevue, WA 98006RIA
CRD#: 153410
Scottsdale, AZ
Past
December 5, 2011 - December 9, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
SCOTTSDALE, AZ
Past
March 11, 2004 - September 28, 2010
AEGIS FINANCIAL GROUP, INC.
RIA
CRD#: 115478
PHOENIX, AZ
Past
May 1, 2001 - December 7, 2011
FSC SECURITIES CORPORATION
BD
CRD#: 7461
SCOTTSDALE, AZ
Past
September 11, 1991 - May 1, 2001
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
November 14, 1989 - September 12, 1991
CENPAC SECURITIES CORP.
BD
CRD#: 16089
Past
June 19, 1983 - February 7, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
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".
GG
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
California(8/16/2022)
IAR
Idaho(10/19/2025)
IAR
Texas(2/3/2014)
IAR
Washington(8/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GG
GALVIN, GAUSTAD & STEIN, LLC
GALVIN, GAUSTAD & STEIN, L.L.C. | GALVIN, GAUSTAD & STEIN, LLC
CRD#: 153410 / SEC#: 801-71464
RIA
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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
16
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 1,224,628,967 |
Red Flags
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Company Information
GALVIN, GAUSTAD & STEIN, LLC
PrincipalCRD#: 153410Scottsdale, AZ 85258TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
