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Current Employers
Garden State Investment Advisory Services, Llc

328 Newman Springs Road, Red Bank, NJ 07701 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2009-09-08
  • NJ RA
    APPROVED
    Since 2009-09-08

Branch Locations

328 Newman Springs Road, Red Bank, NJ 07701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Rockwell Global Capital, Llc. Melville NY 10/2011 Present
  • 10/2011 → Present
    Rockwell Global Capital, Llc.
    Melville, NY
Previous Registrations
  • 2008-08-08 → 2009-09-04
    Securities America Advisors, Inc.
    Iselin, NJ
  • 2006-08-18 → 2008-08-11
    Cetera Advisors Llc
    Iselin, NJ
    Staten Island, NY
  • 2004-08-17 → 2006-08-14
    Wall Street Financial Group, Inc.
    Staten Island, NY
    Victor, NY
    Staten Island, NY
Other Businesses

METRO ONE SECURITY COMPANY, SECURITY GUARD, BEGINNING MARCH 2020, NOT INVESTMENT-RELATED, NOT DURING MARKET HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-14
S63 Uniform Securities Agent State Law Examination 1990-07-19
  • S65 Uniform Investment Adviser Law Examination
    1994-09-14
  • S63 Uniform Securities Agent State Law Examination
    1990-07-19

View on SEC IAPD

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