Kevin John Derosa
Professional Summary
Kevin John Derosa is a registered financial advisor currently at GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC located in Red Bank, New Jersey and GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey. Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kevin has worked at 5 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 87, Series 55,...
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.
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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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
Contact Information
Main Address
328 Newman Springs Road, Red Bank, NJ 07701Phone Number
(732) 280-6886# of Employees
32SEC notice filing (49 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,456AUM (Assets Under Management)
$673,810,500Similar Advisors
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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.
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Primary Firm SEC Registration
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
State Registrations and Notice Filings
(10/7/2020)
(3/21/2005)
(2/17/1999)
(8/6/2002)
(2/17/1999)
(3/3/2025)
(4/28/2005)
(3/21/2005)
(2/23/2006)
(6/9/2014)
(3/9/2006)
(3/21/2005)
(2/17/1999)
(3/12/1999)
(3/18/1999)
(11/8/2001)
(3/26/1999)
(4/12/2005)
(3/2/1999)
(2/27/2006)
(2/19/2020)
(11/18/2005)
(3/12/1999)
(3/12/1999)
(3/11/2005)
(2/15/2012)
(7/17/2023)
(3/21/2005)
(1/26/2024)
(3/15/1999)
(3/11/2005)
(3/28/2016)
(2/24/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Oct 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kevin John Derosa's CRS (Customer Relationship Summary).
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