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VW

Vincent E. Westerman

Some features on this profile are disabled
CRD#: 1736864
VW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Vincent Edward Westerman was a registered financial professional .

Vincent is a previously registered financial professional and started their career in finance in 1991. Vincent had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 26, 2026 - April 1, 2026

GALVIN, GAUSTAD & STEIN, LLC

RIA
CRD#: 153410
SCOTTSDALE, AZ
Past

August 6, 2013 - June 9, 2020

MERCAP SECURITIES, LLC

BD
CRD#: 156607
FORT WAYNE, IN
Past

April 3, 2009 - August 5, 2013

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
SAGAMORE HILLS, OH
Past

July 11, 2005 - April 3, 2026

THE WESTERMAN GROUP, LLC

RIA
CRD#: 135525
SAGAMORE HILLS, OH
Past

June 10, 2005 - March 30, 2009

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
SAGAMORE HILLS, OH
Past

August 20, 2002 - June 14, 2005

OSAIC FA, INC.

RIA
CRD#: 3978
CLEVELAND, OH
Past

August 7, 2002 - June 14, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 7, 2002 - June 14, 2005

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 17, 1996 - August 14, 2002

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

September 9, 1991 - December 6, 1995

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/6/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)
PREMIUM
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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
17

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (12/24/2025)
DISCLOSURE BROCHURE (12/24/2025)

Regulatory assets under management

Total Number of Accounts1,889
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.

Company Information

GALVIN, GAUSTAD & STEIN, LLC

CRD#: 153410

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