← Tributary

GALVIN, GAUSTAD & STEIN, LLC

SCOTTSDALE, AZ · CRD 153410 · IAPD ↗ · ggsadvisors.com · 480-776-1445

$1.35BRegulatory AUM
17Advisory reps
17Employees
1Clients
0Planning clients
0Private funds
21States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
June 2026 — GALVIN, GAUSTAD & STEIN, LLC notice-filed in MI, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
June 2026 — GALVIN, GAUSTAD & STEIN, LLC added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
51
January 2026 — GALVIN, GAUSTAD & STEIN, LLC notice-filed in MA, MD, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
January 2026 — GALVIN, GAUSTAD & STEIN, LLC added office(s): 8 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
49
April 2025 — GALVIN, GAUSTAD & STEIN, LLC notice-filed in IL, NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.