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Mark Paul Stein

Galvin, Gaustad & Stein, LLC

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About Mark Paul Stein

Mark Stein is a financial advisor with over 30 years of experience in the industry. Mark is registered with the state of Arizona as well as the states of California, Texas, and Washington. Mark is a Certified Financial Planner and currently works with Galvin, Gaustad & Stein, LLC. Mark's practice focuses on financial planning, investment management, and pension consulting. Mark has a proven track record of success in helping individuals and businesses achieve their financial goals.

Firm Information

Mark Stein is currently registered with Galvin, Gaustad & Stein, LLC. Galvin, Gaustad & Stein, LLC is a Scottsdale, AZ-based investment advisor registered with the SEC, providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and pension plans. They have approximately $1.2 billion in assets under management.
Galvin, Gaustad & Stein, LLC

7377 E. DOUBLETREE RANCH ROAD

SCOTTSDALE, AZ 85258

$1.19B

Assets Under Management

25

Total Clients

7

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Stein’s Registration & Firm History

AZ

08/16/2022 - Present

Galvin, Gaustad & Stein, LLC (SCOTTSDALE AZ)

AZ

12/05/2011 - 12/09/2016

FOOTHILL SECURITIES, INC. (SCOTTSDALE AZ)

AZ

05/01/2001 - 12/07/2011

FSC SECURITIES CORPORATION (SCOTTSDALE AZ)

CA

09/11/1991 - 05/01/2001

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NA

11/14/1989 - 09/12/1991

CENPAC SECURITIES CORP.

CT

06/19/1983 - 02/07/1990

AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)

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Licenses & Designations

BC

Issued 10/30/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2016

SIE - Securities Industry Essentials Examination

BC

Issued 11/27/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Mark Paul Stein.
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