Stephen Goalen

GOALEN CAPITAL ADVISORS

Bountiful, UT 84010

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CRD#: 5183532

Professional summary

Stephen Goalen, CFP®, who also goes by Stephen L Goalen, Stephen Lloyd Goalen, Steve Goalen, is a registered financial advisor currently at GOALEN CAPITAL ADVISORS, LLC located in Bountiful, Utah.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Stephen has worked at 5 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen L Goalen | Stephen Lloyd Goalen | Steve Goalen

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.

Stephen Goalen is a shareholder in 2 companies - Battalion Bags, LLC and Klean Freak, LLC. The ownership is purely an equity position with not other responsibilities to either company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Goalen'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^®

Certified Financial Planner

Start date: 2013

Experience

Current

March 16, 2021 - Present

GOALEN CAPITAL ADVISORS, LLC

Office #1: 380 N 200 W 201, Bountiful, UT 84010

RIA

CRD#: 312298

Bountiful, UT

Past

October 25, 2019 - March 15, 2021

MERIT WEALTH MANAGEMENT, LLC

RIA

CRD#: 148591

BEND, OR

Past

October 27, 2017 - February 6, 2018

AXION WEALTH LLC

RIA

CRD#: 289021

SAN JOSE, CA

Past

September 8, 2017 - December 31, 2019

GOALEN FINANCIAL ADVISORS

RIA

CRD#: 289497

SALT LAKE CITY, UT

Past

January 10, 2011 - October 1, 2019

JACOBSEN CAPITAL MANAGEMENT

RIA

CRD#: 116085

SALT LAKE CITY, UT

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

Oregon
(11/8/2022)

IAR

Utah
(3/16/2021)

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: 6/17/2008

Uniform Investment Adviser Law Examination

Current Firm

GOALEN CAPITAL ADVISORS, LLC

GOALEN CAPITAL ADVISORS | GOALEN CAPITAL ADVISORS, LLC

CRD#: 312298 / SEC#:

Oregon

Registered Investment Advisory firm - (11/8/2022 Approved)

Utah

Registered Investment Advisory firm - (3/16/2021 Approved)

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Contact information

Main Address

2252 W. Presidents Drive Suite F, West Valley, UT 84120

Mailing Address

Phone number

(323) 539-7703

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	236
AUM (Assets Under Management)	$ 58,888,769

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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Stephen Goalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GOALEN CAPITAL ADVISORS, LLC

MERIT WEALTH MANAGEMENT, LLC

AXION WEALTH LLC

GOALEN FINANCIAL ADVISORS

JACOBSEN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2008

Current Firm

GOALEN CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GOALEN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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