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JG

Jordan M. Galvin

GALVIN, GAUSTAD & STEIN
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 5790360
JG

Professional summary

Jordan M Galvin is a registered financial advisor currently at GALVIN, GAUSTAD & STEIN, LLC located in Scottsdale, Arizona.

Jordan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jordan has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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 Jordan M Galvin'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

May 5, 2017 - Present

GALVIN, GAUSTAD & STEIN, LLC

Office #1: 7377 E. Doubletree Ranch Road Suite 250, Scottsdale, AZ 85258Office #2: 2850 E Harmony Road Suite 201, Fort Collins, CO 80528Office #3: 11001 W. 120th Ave Suite 400, Bloomfield, CO 80021
RIA
CRD#: 153410
Scottsdale, AZ
Past

October 27, 2015 - December 19, 2016

GALVIN, GAUSTAD & STEIN, LLC

RIA
CRD#: 153410
SCOTTSDALE, AZ
Past

March 9, 2015 - December 13, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
SCOTTSDALE, AZ
Past

November 2, 2012 - March 5, 2015

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
ANAHEIM HILLS, CA
Past

April 6, 2011 - September 28, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ
Past

September 17, 2010 - March 29, 2011

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA

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
(6/16/2017)
IAR
Colorado
(2/22/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/13/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/13/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2010
General Securities 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)
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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)

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 (4/8/2025)
DISCLOSURE BROCHURE (3/28/2025)

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#: 153410Scottsdale, AZ 85258

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