Stephen K. Garvin

SANDHILL INVESTMENT MANAGEMENT

Buffalo, MN

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CRD#: 1364526

Professional summary

Stephen Kevin Garvin, who also goes by Steve Garvin, is a registered financial advisor currently at SANDHILL INVESTMENT MANAGEMENT located in Buffalo, Minnesota.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Stephen has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Garvin

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.

SKG PROPERTIES,PLYMOUTH, MN - OWNER RENTAL PROPERTY, 2-4 HOURS A MONTH, BEGAN IN 2004, NOT INVESTMENT RELATED LA HACIENDA RANCH IN DALLAS, TX - RESTAURANT, LIMITED PARTNER, NO TIME OBLIGATION, BEGAN IN 1998, NOT INVESTMENT RELATED EVANS SELF STORAGE, EVANS, NY- PARTNER, SELF STORAGE FACILITY , NO TIME OBLIGATION, NOT INVESTMENT RELATED SAVAGE IO, FAIRPORT, NY - DATA STORAGE SERVERS (DIRECTOR/INVESTOR), 2-4 HOURS A MONTH, BEGAN IN 2016, NOT INVESTMENT RELATED JBM COMPUTER CO, WEST SENECA, NY -DIRECTOR, COMPUTER AND ACCOUNTING COMPANY FOR MULTI-EMPLOYER MARKET, NO TIME OBILGATION, BEGAN IN 2016, NOT INVESTMENT RELATED GARVIN FARMS LLC, BUFFALO, MN- OWNER, APPLE ORCHARD- FAMILY BUSINESS THAT GROWS AND SELLS APPLES TO WHOLESALE MARKET. 0-10 HOURS A MONTH, BEGAN IN 2021, NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kevin Garvin'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

April 9, 2015 - Present

SANDHILL INVESTMENT MANAGEMENT

RIA

CRD#: 129800

Buffalo, MN

Past

September 20, 2011 - November 30, 2011

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

July 10, 2006 - October 13, 2009

MILKIE/FERGUSON INVESTMENTS, INC.

RIA

CRD#: 17606

DALLAS, TX

Past

October 8, 2004 - October 13, 2009

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

February 1, 1993 - October 8, 2004

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

February 1, 1993 - October 8, 2004

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

November 13, 1990 - February 8, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 30, 1987 - November 13, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 18, 1985 - November 18, 1987

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

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".

SANDHILL INVESTMENT MANAGEMENT

SANDHILL CAPITAL | SANDHILL INVESTMENT MANAGEMENT | SANDHILL CAPITAL PARTNERS LLC

CRD#: 129800 / SEC#: 801-63194

RIA

Registered Investment Advisory firm - (6/16/2004 Approved)

New York

Registered Investment Advisory firm - (8/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Minnesota
(11/12/2021)

IAR

New York
(11/23/2021)

IAR

Texas
(4/9/2015)

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: 4/9/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/21/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/23/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SANDHILL INVESTMENT MANAGEMENT

SANDHILL CAPITAL | SANDHILL INVESTMENT MANAGEMENT | SANDHILL CAPITAL PARTNERS LLC

CRD#: 129800 / SEC#: 801-63194

RIA

Registered Investment Advisory firm - (6/16/2004 Approved)

New York

Registered Investment Advisory firm - (8/17/2004 Terminated)

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Contact information

Main Address

40 Fountain Plaza Suite 1300, Buffalo, NY 14202

Mailing Address

Phone number

(716) 852-0279

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SANDHILL ADV PART2A (3/28/2025)

SANDHILL ADV PART 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,326
AUM (Assets Under Management)	$ 2,233,929,143

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.

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Firm Stability Insights

Stephen K. Garvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kevin Garvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

T3 TRADING GROUP, LLC

MILKIE/FERGUSON INVESTMENTS, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

Primary Firm SEC Registration

SANDHILL INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2015

Series 63

Date: 7/8/1985

Series 3

Date: 6/21/1988

Series 7

Date: 6/15/1985

Series 8

Date: 4/23/1993

Current Firm

SANDHILL INVESTMENT MANAGEMENT

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANDHILL INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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