Steven P. Margulin

FINANCIAL GRAVITY FAMILY OFFICE SERVICES

Highlands Ranch, CO

CRD#: 2373728

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Professional summary

Steven Phillip Margulin, CFP®, ChFC® is a registered financial advisor currently at FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC located in Highlands Ranch, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Steven has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Steven Phillip Margulin'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®

CFP^®

Certified Financial Planner

Start date: 2002

CRD#: 30833

ALBUQUERQUE, NM

Past

November 29, 2001 - March 17, 2003

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

ALBUQUERQUE, NM

Past

November 29, 2001 - March 17, 2003

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

August 3, 1993 - December 5, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

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".

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA

Registered Investment Advisory firm - (9/9/2021 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

Arkansas
(1/12/2026)

IAR

California
(1/12/2026)

IAR

Colorado
(2/5/2024)

IAR

Florida
(2/27/2026)

IAR

Missouri
(1/12/2026)

IAR

Nevada
(1/12/2026)

IAR

New Mexico
(3/6/2023)

IAR

North Carolina
(1/12/2026)

IAR

Oregon
(1/12/2026)

IAR

Pennsylvania
(1/12/2026)

IAR

Texas
(3/3/2023)

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

Series 63

Date: 8/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/1/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2002

General Securities Principal Examination

Current Firm

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

CRD#: 316024 / SEC#: 801-122258

RIA

Registered Investment Advisory firm - (9/9/2021 Approved)

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Contact information

Main Address

2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734

Mailing Address

Phone number

(800) 588-3893

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (12/23/2025)

Regulatory assets under management

Total Number of Accounts	3,077
AUM (Assets Under Management)	$ 590,457,327

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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Advisor Monitoring

Firm Stability Insights

Steven P. Margulin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Phillip Margulin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWM, LLC

RETIREMENT EXTENDER (R)

RETIREMENT EXTENDER, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/1993

SIE

Date: 8/3/2018

Series 7

Date: 8/2/1993

Series 51

Date: 2/1/2003

Series 24

Date: 10/25/2002

Current Firm

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC

TRUST BUT VERIFY

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