GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC of RED BANK, NJ is an SEC-registered investment adviser (CRD 133088). Regulatory assets under management: $673.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Kevin John Derosa | MEMBER/OWNER | — |
| Scott Henry Sari | MEMBER/OWNER | — |
| Louis Lucky Perrotto | CHIEF EXECUTIVE OFFICER | — |
| Raymond Edward Ambrosino | MEMBER/OWNER | — |
| Steven David Trigili | CHIEF COMPLIANCE OFFICER | — |
| Robert Mcmullin | CHIEF FINANCIAL OFFICER | — |
| TRIGILI STEVEN DAVID | CHIEF COMPLIANCE OFFICER | — |
| DEROSA KEVIN JOHN | MEMBER/OWNER | — |
| SARI SCOTT HENRY | MEMBER/OWNER | — |
| PERROTTO LOUIS LUCKY | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER/OWNER | — |
| AMBROSINO RAYMOND EDWARD | MEMBER/OWNER | — |
| McMullin Robert | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-10-23 | regulatory | THE FIRM NEGLECTED TO PROPERLY REGISTER AN INVESTMENT ADVISER REPRESENTATIVE WITH THE NJ BUREAU OF SECURITIES AND PAY THE REQUIRED REGISTRATION FEES. | Final | $5K |
| 2010-10-18 | regulatory | THE FIRM DID NOT TIMELY RESPOND TO THE INVESTMENT ADVISER RENEWAL FORM AS REQUIRED UNDER APPLICABLE NEW JERSEY LAW. | Final | $3K |
| 2007-02-22 | regulatory | AN ASSOCIATED PERSON OF THE ADVISOR AFFILIATES COMMONLY CONTROLLED BROKER/DEALER FIRM AND ONE OF ITS ASSOCIATED PERSONS CONDUCTED SECURITIES TRANSACTIONS IN THE STATE OF ALABAMA WITHOUT THE BENEFIT OF BROKER/DEALER AND AGENT REGISTRATION IN ALABAMA. | Final | $2K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |