Andrew J. Donofrio

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CRD#: 2039135

Professional summary

Andrew Joseph Donofrio was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew Joseph Donofrio was a registered financial advisor .

Andrew is a previously registered financial advisor and started their career in finance in 1990. Andrew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 17, 2010 - March 3, 2015

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 133088

RED BANK, NJ

Past

September 8, 2010 - March 3, 2015

GARDEN STATE SECURITIES, INC.

CRD#: 10083

RED BANK, NJ

Past

January 11, 2006 - August 26, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EDISON, NJ

Past

January 11, 2006 - August 26, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EDISON, NJ

Past

November 10, 2003 - January 5, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CLIFTON, NJ

Past

November 10, 2003 - January 5, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 30, 2003 - November 11, 2003

TD AMERITRADE, INC.

RIA

CRD#: 7870

JERSSEY CITY, NJ

Past

October 25, 2000 - November 11, 2003

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 24, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 24, 1998 - December 20, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 2, 1998 - November 23, 1998

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

September 8, 1992 - February 5, 1998

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

March 20, 1990 - September 16, 1992

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/3/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/15/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/22/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

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Contact information

Main Address

328 Newman Springs Road, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 280-6886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSIAS FORM ADV PART 2A BROCHURE DATED MARCH 31 2025 (3/31/2025)

GSIAS WRAP BROCHURE DATED MARCH 31 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,122
AUM (Assets Under Management)	$ 561,548,738

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Andrew J. Donofrio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

LABRANCHE FINANCIAL SERVICES, LLC

CROWN FINANCIAL GROUP, INC.

SOUTH RICHMOND SECURITIES, INC.

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/1999

Series 63

Date: 3/29/1990

SIE

Date: 3/3/2015

Series 7

Date: 3/17/1990

Series 10

Date: 4/15/2002

Series 9

Date: 3/22/2002

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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