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John Garofalo

Ares Wealth Management Solutions, LLC

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About John Garofalo

John Garofalo is a financial advisor with Ares Wealth Management Solutions, LLC, a firm with a branch office in Los Angeles, California. John has experience in the industry dating back to 2013. He is a Series 66, Series 7, and SIE licensed professional. John's previous experience includes Morgan Stanley, First Republic Securities Company, LLC, Nuveen Securities, LLC, and Ares Investor Services LLC. John is registered to provide investment advice in California and Colorado.

Firm Information

John Garofalo is currently registered with Ares Wealth Management Solutions, LLC. Ares Wealth Management Solutions, LLC is a Limited Liability Company formed on December 21, 2001. The firm is registered with the SEC and all 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

35

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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John Garofalo’s Registration & Firm History

CA

04/11/2024 - Present

Ares Wealth Management Solutions, LLC (Los Angeles CA)

CA

04/13/2023 - 04/09/2024

MORGAN STANLEY (Santa Monica CA)

CA

03/03/2023 - 05/02/2023

FIRST REPUBLIC SECURITIES COMPANY, LLC (LOS ANGELES CA)

CA

11/30/2020 - 03/27/2023

MORGAN STANLEY (Los Angeles CA)

CA

03/09/2020 - 11/19/2020

NUVEEN SECURITIES, LLC (LOS ANGELES CA)

CA

08/30/2016 - 02/26/2020

ARES INVESTOR SERVICES LLC (LOS ANGELES CA)

NY

10/21/2013 - 09/19/2014

MORGAN STANLEY (PURCHASE NY)

NY

05/29/2013 - 09/30/2013

WELLS FARGO ADVISORS, LLC (PURCHASE NY)

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Licenses & Designations

IA

Issued 12/26/2020

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 06/19/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/28/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Garofalo.
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