KD
Kevin J. Derosa
GARDEN STATE INVESTMENT ADVISORY SERVICES
RED BANK, NJ 07701
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CRD#: 2314895
KD
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, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)THE OPUS GROUP LLC. CO-FOUNDER, SINCE JUNE 2004, DBA ONLY, OPERATES FROM FIRM REGISTERED BRANCH LOCATION. 2)GARDEN STATE INSURANCE AGENCY, INC. OWNER, LESS THAN 10 HOURS A MONTH. 3)VINTAGE COVER BAND, TOMS RIVER, NJ, NOT INVESTMENT RELATED, LESS THAN 1 HOUR PER WEEK; 4) JACKSON ROSE VENTURE I, LLC, JACKSON ROSE VENTURE II, LLC AND JACKSON ROSE MANAGEMENT, LLC, MANAGING MEMBER, PRIVATE FUND FORMED TO PURCHASE, HOLD AND/OR SELL RESTRICTED SECURITIES OF VARIOUS DISRUPTIVE, LEADING SEED-STAGE, EARLY-STAGE, DEVELOPMENTAL-STAGE AND LATER-STAGE PRIVATE COMPANIES. BUSINESS IS INVESTMENT-RELATED AND CONDUCTED OUT OF RED BANK HOME OFFICE LOCATION. STARTING 8/2021, APPROX. 8-10 HOURS/WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin John Derosa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 12, 2005 - Present
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
Office #1: 328 Newman Springs Road Suite 1, Red Bank, NJ 07701RIA
CRD#: 133088
RED BANK, NJ
Current
February 9, 1999 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701BD
CRD#: 10083
Red Bank, NJ
Past
February 3, 1999 - February 9, 1999
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
Past
October 5, 1998 - March 12, 1999
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
October 18, 1996 - October 5, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
July 12, 1994 - October 21, 1996
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
Past
November 16, 1993 - July 14, 1994
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
February 5, 1993 - November 16, 1993
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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".
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
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
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/7/2020)
RR
Arizona(3/21/2005)
RR
California(2/17/1999)
RR
Colorado(8/6/2002)
RR
Connecticut(2/17/1999)
RR
Delaware(3/3/2025)
RR
District of Columbia(4/28/2005)
RR
Florida(3/21/2005)
RR
Georgia(2/23/2006)
RR
Illinois(6/9/2014)
RR
Indiana(3/9/2006)
RR
Iowa(3/21/2005)
RR
Maryland(2/17/1999)
RR
Michigan(3/12/1999)
RR
Minnesota(3/18/1999)
RR
Missouri(11/8/2001)
RR
New Jersey(3/26/1999)
IAR
New Jersey(4/12/2005)
RR
New York(3/2/1999)
RR
North Carolina(2/27/2006)
RR
Ohio(2/19/2020)
RR
Oklahoma(11/18/2005)
RR
Oregon(3/12/1999)
RR
Pennsylvania(3/12/1999)
RR
South Carolina(3/11/2005)
RR
South Dakota(2/15/2012)
RR
Tennessee(7/17/2023)
RR
Texas(3/21/2005)
RR
Utah(1/26/2024)
RR
Virginia(3/15/1999)
RR
Washington(3/11/2005)
RR
West Virginia(3/28/2016)
RR
Wisconsin(2/24/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/8/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
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
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)Upgrade to AdvisorCheck Premium
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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
32
SEC notice filing (49 States and Territories)
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.
