PS
Paul J. Stawinski
GARDEN STATE INVESTMENT ADVISORY SERVICES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 717063
PS
Professional summary
Paul Jacques Stawinski 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 New York, New York.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Paul has worked at 11 firms and has passed the Series 66, Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1 and Series 24 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) 1. Name- Summit Financial DBA CLU Wealth Advisors 2. Investment related - Yes 3. Address- 310 West 86 Street PHN, New York, NY 10024 4. Nature - RIA 5. position - Advisor 6. start date - 09/2022 7. number of hours/month - 160 8. number of hours during securities trading hours - 7 9. duties - Advisor and Financial Planner 2) PAUL STAWINSKI 310 WEST 86TH STREET, SUITE PH NEW YORK, NY 10024 CATEGORY: OTHER INVESTMENT RELATED: NO TITLE: CAPTAIN OF A YACHT CHARTER DUTIES: CHARTER MY YACHT START DATE: 5/23/2020 HOURS PER MONTH: 15 HOURS PER MONTH DURING TRADING HOURS: 0 3) 1. Name - PKS Financial 2. Investment related - Yes 3. Address - 80 State Street, Albany NY 12207 4. Nature - Fixed / Traditional Insurance 5. position - Agent 6. start date - 09/2022 7. number of hours/month - 20 8. number of hours during securities trading hours - 20 9. duties - Sales of Fixed / Traditional insurance products 4)1. Name - Fixed Insurance 2. Investment related - Yes 3. Address - 310 West 86 Street PHN, New York, NY 10024 4. Nature - Fixed / Traditional Insurance 5. position - Agent 6. start date - 04/2016 7. number of hours/month - 100 8. number of hours during securities trading hours - 80 9. duties - Sales of Fixed / Traditional insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Paul Jacques Stawinski'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
April 13, 2023 - Present
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701RIA
CRD#: 133088
Red Bank, NJ
Current
March 16, 2023 - Present
GARDEN STATE SECURITIES, INC.
BD
CRD#: 10083
NEW YORK, NY
Past
September 14, 2022 - March 23, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
New York, NY
Past
September 2, 2022 - March 22, 2023
SUMMIT FINANCIAL, LLC
RIA
CRD#: 299322
NEW YORK, NY
Past
January 5, 2022 - September 14, 2022
OSAIC FA, INC.
RIA
CRD#: 3978
New York, NY
Past
February 26, 2016 - September 14, 2022
OSAIC FA, INC.
BD
CRD#: 3978
New York, NY
Past
September 27, 2006 - February 26, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
NEW YORK, NY
Past
June 1, 2005 - August 25, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
June 1, 2005 - August 25, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 16, 2001 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
NEW YORK, NY
Past
March 30, 2001 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
January 2, 1998 - April 18, 2001
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
October 7, 1996 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
October 20, 1980 - September 25, 1996
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 17, 1980 - September 25, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
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".
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
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)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.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
California(5/16/2023)
RR
Colorado(4/10/2023)
RR
Connecticut(4/10/2023)
RR
District of Columbia(4/12/2023)
RR
Florida(3/16/2023)
RR
Indiana(3/16/2023)
RR
Michigan(5/19/2023)
RR
New Jersey(4/4/2023)
IAR
New Jersey(4/13/2023)
RR
New York(4/8/2023)
RR
North Carolina(3/16/2023)
RR
Pennsylvania(3/30/2023)
RR
Washington(3/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/3/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CLU WEALTH ADVISORS LLC | TOTAL WEALTH ENHANCEMENT GROUP LLC | LA BOIS PARTNERS | GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC | GARDEN STATE INVESTMENT ADVISORY SERVICES LLC | COLTS NECK FINANCIAL
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)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
Phone number
(732) 280-6886
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (49 States and Territories)
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.
