Carl R. Keever

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CRD#: 2224674

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carl Richard Keever was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1992. Carl had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 24 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

October 12, 2010 - May 1, 2012

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 133088

RED BANK, NJ

Past

April 9, 2008 - December 10, 2008

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

BOISE, ID

Past

March 19, 2008 - December 10, 2008

INVEST FINANCIAL CORPORATION

CRD#: 12984

BOISE, ID

Past

October 6, 2003 - December 18, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BOISE, ID

Past

October 6, 2003 - December 18, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 11, 2002 - January 22, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOISE, ID

Past

January 2, 2002 - January 22, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 20, 2000 - January 4, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 1, 1999 - November 17, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 23, 1996 - January 4, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - April 26, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 17, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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 66

Date: 4/5/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2002

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Carl R. Keever

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2008

Series 65

Date: 8/6/1994

Series 63

Date: 4/4/1992

Series 7

Date: 3/18/2008

Series 24

Date: 3/27/2002

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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