Louis Lucky Perrotto Jr
Professional Summary
Louis Lucky Perrotto JR is a registered financial advisor currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey. Louis is registered as a RR (Registered Representative) and started their career in finance in 1998. Louis has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
GARDEN STATE SECURITIES, INC.
Contact Information
Main Address
328 Newman Springs Road, Red Bank, NJ 07701Mailing Address
328 Newman Springs Road, Red Bank, NJ 07701Phone Number
(732) 280-6886Established
New Jersey since 03/01/1980Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US 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
24Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(7/6/2011)
(8/12/2013)
(5/25/2010)
(11/19/1998)
(7/6/2011)
(2/7/2013)
(1/29/1999)
(1/2/2015)
(6/15/2010)
(7/6/2011)
(1/2/2015)
(7/6/2011)
(8/4/2006)
(7/6/2011)
(12/7/2012)
(7/6/2011)
(2/7/2013)
(8/28/2012)
(7/6/2011)
(9/21/1998)
(10/20/1998)
(10/9/2007)
(7/6/2011)
(10/26/2010)
(8/4/2006)
(4/19/2018)
(1/5/2011)
(8/4/2006)
(1/2/2015)
(2/3/2005)
(7/6/2011)
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 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Louis Lucky Perrotto JR's CRS (Customer Relationship Summary).
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