James J. Pappalardo
Professional summary
James Joseph Pappalardo is a registered financial professional currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Pappalardo's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2008 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701March 3, 2003 - December 10, 2008
FIRST MONTAUK SECURITIES CORP.
January 14, 2002 - March 4, 2003
E STREET ACCESS
August 24, 2000 - January 3, 2002
SCHNEIDER SECURITIES, INC.
November 12, 1998 - September 18, 2000
THE AGEAN GROUP, INC
March 17, 1988 - October 5, 1998
H.J. MEYERS & CO., INC.
May 19, 1987 - December 1, 1987
MARSHALL DAVIS, INC.
November 24, 1986 - May 5, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/10/2008)
(12/10/2008)
(2/4/2025)
Exams
Series 79TO
Date: 4/26/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 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 | 24 |
| Arbitration | 3 |
Red Flags
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