LP
Louis L. Perrotto
GARDEN STATE SECURITIES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 3053498
LP
Professional summary
Louis Lucky Perrotto JR is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Louis Lucky Perrotto JR'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
September 21, 1998 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701BD
CRD#: 10083
Red Bank, NJ
Past
July 2, 1998 - October 5, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(7/6/2011)
RR
Arizona(8/12/2013)
RR
Arkansas(5/25/2010)
RR
California(11/19/1998)
RR
Connecticut(7/6/2011)
RR
Delaware(2/7/2013)
RR
Florida(1/29/1999)
RR
Idaho(1/2/2015)
RR
Illinois(6/15/2010)
RR
Indiana(7/6/2011)
RR
Iowa(1/2/2015)
RR
Maryland(7/6/2011)
RR
Massachusetts(8/4/2006)
RR
Michigan(7/6/2011)
RR
Minnesota(12/7/2012)
RR
Missouri(7/6/2011)
RR
Nebraska(2/7/2013)
RR
Nevada(8/28/2012)
RR
New Hampshire(7/6/2011)
RR
New Jersey(9/21/1998)
RR
New York(10/20/1998)
RR
North Carolina(10/9/2007)
RR
Ohio(7/6/2011)
RR
Oregon(10/26/2010)
RR
Pennsylvania(8/4/2006)
RR
Puerto Rico(4/19/2018)
RR
South Carolina(1/5/2011)
RR
Texas(8/4/2006)
RR
Utah(1/2/2015)
RR
Virginia(2/3/2005)
RR
Washington(7/6/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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
RR
Series 55
Date: 2/24/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GARDEN STATE SECURITIES, INC.
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
328 Newman Springs Road, Red Bank, NJ 07701
Mailing Address
328 Newman Springs Road, Red Bank, NJ 07701
Phone number
(732) 280-6886
Established
New Jersey since 03/01/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 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 | 24 |
| Arbitration | 3 |
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.
