Shaun J. Grimaldi

GARDEN STATE SECURITIES

Red Bank, NJ 07701

Some features on this profile are disabled

CRD#: 4529021

Professional summary

Shaun Joseph Grimaldi is a registered financial professional currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.

Shaun is registered as a RR (Registered Representative) and started their career in finance in 2002. Shaun has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Joseph Grimaldi'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

August 2, 2024 - Present

GARDEN STATE SECURITIES, INC.

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

CRD#: 10083

Red Bank, NJ

Past

May 9, 2024 - August 2, 2024

J.H. DARBIE & CO., INC.

CRD#: 43520

NEW YORK, NY

Past

April 11, 2003 - May 8, 2024

E1 ASSET MANAGEMENT, INC.

CRD#: 46872

jersey city, NJ

Past

June 6, 2002 - May 6, 2003

PHD CAPITAL

CRD#: 38785

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/20/2024)

Connecticut
(8/2/2024)

Florida
(8/2/2024)

New Jersey
(8/14/2024)

New York
(8/2/2024)

Pennsylvania
(8/2/2024)

Exams

State Security Law Exam

Series 63

Date: 6/14/2002

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: 6/5/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GARDEN STATE SECURITIES, INC.

CRD#: 10083 / SEC#: , 8-25790

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Similar Advisors

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

Stephen Stewart

CHELSEA ADVISORY SERVICES, INC

IAR

South Ozone Park, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shaun J. Grimaldi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Joseph Grimaldi's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.H. DARBIE & CO., INC.

E1 ASSET MANAGEMENT, INC.

PHD CAPITAL

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/5/2002

Series 24

Date: 6/24/2004

FINRA

Current Firm

GARDEN STATE SECURITIES, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GARDEN STATE SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors