Joseph Larocca
Professional Summary
Joseph Larocca is a registered financial advisor currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey. Joseph is registered as a RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
GARDEN STATE SECURITIES, INC.
Contact Information
Main Address
328 Newman Springs Road, Red Bank, NJ 07701Mailing Address
328 Newman Springs Road, Red Bank, NJ 07701Phone Number
(732) 280-6886Established
New Jersey since 03/01/1980Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
Regulatory Event
24Arbitration
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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.
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State Registrations and Notice Filings
(4/1/2015)
(5/15/2015)
(3/11/2014)
(4/20/2015)
(3/11/2014)
(3/13/2015)
(3/25/2014)
(7/25/2019)
(7/26/2019)
(3/26/2014)
(10/6/2014)
(3/10/2014)
(11/27/2017)
(9/20/2021)
(2/1/2019)
(3/10/2014)
(3/25/2014)
(3/10/2014)
(4/10/2014)
(4/14/2022)
(3/13/2014)
(3/10/2014)
(3/10/2014)
(3/10/2014)
(3/26/2014)
(12/3/2014)
(3/10/2014)
(3/17/2014)
(3/13/2014)
(3/25/2014)
(3/25/2014)
(3/14/2014)
(3/25/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Larocca's CRS (Customer Relationship Summary).
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