Terry Brodt is a registered investment advisor, based in Red Bank, NJ, with 31 years of industry experience.
Location
328 Newman Springs Road, Red Bank, NJ, 07701
Get directionsHistory
Regulatory History (11)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
May 2025Judgment / Lien
April 2025Judgment / Lien
February 2024Customer Dispute
November 2017Settled
Regulatory
May 2017Final
Financial
July 2016Final
Customer Dispute
May 2016Settled
Customer Dispute
December 2012Closed-No Action
Customer Dispute
October 2012Settled
Customer Dispute
June 2010Denied
Customer Dispute
September 2001Denied
Other Business Activities
Terry has a real estate license since 2010, but it is not active and not investment related. This activity takes minimal time.
Employment History
Current Registrations
Garden State Investment Advisory Services, LLC
August 2010 - Present · 15 yrs 11 mos
Garden State Securities, INC.
August 2010 - Present · 15 yrs 11 mos
Garden State Securities, INC.Broker
August 2010 - Present · 15 yrs 11 mos
Previous Registrations
Invest Financial CorporationBroker
May 2007 - August 2010 · 3 yrs 3 mos
Invest Financial Corporation
May 2007 - August 2010 · 3 yrs 3 mos
Invest Financial Corporation
May 2007 - May 2007 · 0 mos
Invest Financial CorporationBroker
May 2007 - May 2007 · 0 mos
First Montauk Securities CORP.
November 2005 - June 2007 · 1 yr 7 mos
First Montauk Securities CORP.Broker
November 2005 - June 2007 · 1 yr 7 mos
Linsco/private Ledger CORP.
June 2002 - December 2005 · 3 yrs 6 mos
Linsco/private Ledger CORP.Broker
June 2002 - December 2005 · 3 yrs 6 mos
Prudential Securities Incorporated
October 2000 - June 2002 · 1 yr 8 mos
Prudential Securities IncorporatedBroker
September 2000 - June 2002 · 1 yr 9 mos
Dean Witter Reynolds INC.Broker
March 1997 - October 2000 · 3 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1995 - March 1997 · 2 yrs 1 mo
Painewebber IncorporatedBroker
October 1993 - February 1994 · 4 mos
State Registrations19 states
AZCACOCTFLIAIDILLAMNMSNCNJNVNYORPARITX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.