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Nicholas Michael Garofalo

GWN Securities Inc.

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About Nicholas Michael Garofalo

Nicholas Garofalo is a registered representative with GWN Securities Inc., and has been in the securities industry since 2014. Nicholas is licensed in 7 states including California, Connecticut, Florida, Massachusetts, New York, and North Carolina. Nicholas also provides advisory services through GWN Securities Inc. and has been providing these services since 2020. Nicholas is a Series 6, 7, 63, and 66 licensed professional and is experienced in providing financial planning, market timing services, and portfolio management for individuals.

Firm Information

Nicholas Garofalo is currently registered with GWN Securities Inc.. GWN Securities Inc., formed in May 1999, is a Florida-based corporation offering a range of investment advisory services to individuals, corporations, and high-net-worth clients. The firm manages over $3 billion in assets, serving over 32,000 clients across the United States. GWN Securities specializes in financial planning, market timing services, and portfolio management for individuals and corporations.
GWN Securities Inc.

11440 NORTH JOG ROAD

PALM BEACH GARDENS, FL 33418-3764

$3.08B

Assets Under Management

88

Total Clients

583

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

In lieu of hourly fee, ia can charge a flat fee

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Nicholas Garofalo’s Registration & Firm History

CT

06/23/2020 - Present

GWN Securities Inc. (NEWTOWN CT)

CT

03/23/2017 - 12/31/2019

NATIONWIDE SECURITIES, LLC (North Haven CT)

CT

07/07/2014 - 03/03/2017

NYLIFE SECURITIES LLC (STRATFORD CT)

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Licenses & Designations

BOTH

Issued 06/23/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/01/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/12/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Michael Garofalo.
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