Geoffrey B. Coates

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CRD#: 502197

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Geoffrey Burgis Coates was a registered financial professional .

Geoffrey is a previously registered financial professional and started their career in finance in 1979. Geoffrey had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 52 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2013 - September 2, 2014

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 133088

RED BANK, NJ

Past

October 9, 2013 - September 2, 2014

GARDEN STATE SECURITIES, INC.

CRD#: 10083

WELLINGTON, FL

Past

June 28, 2012 - January 8, 2013

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

ISELIN, NJ

Past

December 13, 2010 - December 17, 2012

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ISELIN, NJ

Past

January 28, 2010 - December 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SADDLE BROOK, NJ

Past

October 5, 2009 - December 15, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SADDLE BROOK, NJ

Past

January 18, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

SADDLEBROOK, NJ

Past

March 16, 2005 - January 18, 2008

R. SEELAUS & CO., LLC

CRD#: 14974

SUMMIT, NJ

Past

March 5, 2001 - March 11, 2005

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

October 7, 1999 - March 7, 2001

R. SEELAUS & CO., LLC

CRD#: 14974

CHATHAM, NJ

Past

June 3, 1997 - October 27, 1999

LEBENTHAL & CO., INC.

CRD#: 6490

NEW YORK, NY

Past

March 25, 1997 - April 8, 1997

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

February 24, 1988 - May 16, 1997

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

Past

September 21, 1983 - May 16, 1997

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

MILBURN, NJ

Past

December 1, 1979 - June 11, 1987

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 5/7/1979

Municipal Securities Representative Examination

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

Geoffrey B. Coates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

R. SEELAUS & CO., LLC

GMS GROUP

R. SEELAUS & CO., LLC

LEBENTHAL & CO., INC.

KIRLIN SECURITIES INC.

FIRST INTERREGIONAL EQUITY CORP.

FIRST INTERREGIONAL EQUITY CORP.

FIRST INTERREGIONAL EQUITY CORP.

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2009

Series 63

Date: 3/2/1988

Series 7

Date: 9/17/1983

Series 52

Date: 5/7/1979

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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