Daniel Joseph Lombardozzi

Garden State Investment Advisory Services, LLC

26 Years of Experience

2 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingEstate PlanningBusiness OwnersHigh Net Worth

Garden State Investment Advisory Services, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

31 advisors

Number of Clients

2,122 clients

Average Client Portfolio

$265K average

Assets Under Management

$561.5M

Fee Structure

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $500K	2.00%
$500K - $1.0M	1.75%
$1.0M - $2.0M	1.50%
$2.0M - $3.0M	1.25%
$3M+	1.00%

The annual fee is negotiable.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Location

328 Newman Springs Road, Red Bank, NJ, 07701

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History

Regulatory History (2)

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.

Financial

July 2018

Final

Customer Dispute

March 2013

Denied

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Daniel is an independent contractor selling fixed, life, health, and property & casualty insurance, dedicating about a quarter of his time to this activity. He also owns Perennial Planning Partners, LLC, which serves as a registered branch office and insurance business, requiring nearly full-time commitment.

Employment History

Current Registrations

Garden State Investment Advisory Services, LLC

April 2019 - Present · 6 yrs 10 mos

Garden State Securities, INC.Broker

March 2019 - Present · 6 yrs 11 mos

Previous Registrations

First Allied Advisory Services, INC.

July 2012 - March 2019 · 6 yrs 8 mos

First Allied Securities, INC.Broker

December 2008 - March 2019 · 10 yrs 3 mos

First Allied Securities, INC.

December 2008 - July 2012 · 3 yrs 7 mos

First Montauk Securities CORP.

September 2008 - December 2008 · 3 mos

First Montauk Securities CORP.Broker

May 2006 - December 2008 · 2 yrs 7 mos

Ashton-Clayton Financial Group, LLCBroker

April 2004 - June 2006 · 2 yrs 2 mos

American Express Financial Advisors INC.Broker

April 1999 - April 2004 · 5 yrs

Ids Life Insurance CompanyBroker

April 1999 - April 2004 · 5 yrs

State Registrations7 states

FLNCNJNYPARISC

AdvisorBrokerBoth

Exams

No exam information available for this advisor.