Daniel J. Lombardozzi

GARDEN STATE INVESTMENT ADVISORY SERVICES

Red Bank, NJ 07701

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CRD#: 3190741

Professional summary

Daniel Joseph Lombardozzi 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.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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.) INSURANCE; INDEPENDENT CONTRACTOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 04/01/2012;40 HRS. PER MONTH. 2.) Awaye Realty Management LLC; Independent Contractor/Agent; Real Estate (Agent/Broker/Developer); not active but licensed. 3.) PERENNIAL PLANNING PARTNERS, LLC. DBA FOR REGISTERED BRANCH OFFICE LOCATION AND INSURANCE; OWNER; START DATE 11/07/2018; 160 HOURS A MONTH. 4.) MATT TALBOT, Not-for-Profit organization; Treasurer; Not investment-related; Start date 10/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Lombardozzi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 12, 2019 - Present

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

Office #1: 328 Newman Springs Road, Red Bank, NJ 07701

RIA

CRD#: 133088

Red Bank, NJ

Current

March 8, 2019 - Present

GARDEN STATE SECURITIES, INC.

Office #1: 19 Bridge Avenue, Red Bank, NJ 07701

CRD#: 10083

Red Bank, NJ

Past

July 2, 2012 - March 15, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

CRANFORD, NJ

Past

December 9, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

Staten Island, NY

Past

December 9, 2008 - March 15, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Staten Island, NY

Past

September 25, 2008 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

STATEN ISLAND, NY

Past

May 12, 2006 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

STATEN ISLAND, NY

Past

April 14, 2004 - June 2, 2006

ASHTON-CLAYTON FINANCIAL GROUP, LLC

CRD#: 103720

STATEN ISLAND, NY

Past

April 20, 1999 - April 12, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 20, 1999 - April 12, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(3/8/2019)

New Jersey
(4/12/2019)

IAR

New Jersey
(4/12/2019)

New York
(3/8/2019)

IAR

New York
(5/31/2021)

North Carolina
(4/4/2019)

Pennsylvania
(3/8/2019)

Rhode Island
(10/28/2022)

South Carolina
(9/22/2023)

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

State Security Law Exam

IAR

Series 65

Date: 10/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1999

General Securities Representative Examination

SRO Registrations

FINRA

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

Daniel J. Lombardozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Lombardozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

ASHTON-CLAYTON FINANCIAL GROUP, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2006

Series 63

Date: 4/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1999

FINRA

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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