Nicholas Michael Garofalo
Investment adviser representative at Gwn Securities Inc.
13 yearsExperience
1 stateRegistered in
$4.8BFirm assets
22 yearsFirm in business
Are you Nicholas Michael Garofalo? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Market timing
Experience
13 years in the industry.
- Gwn Securities, Inc.Jan 2020 to now
- Nationwide FinancialMar 2017 to Jun 2021
- NsllcMar 2017 to Jan 2020
- Nylife Securities LLCMar 2014 to Mar 2017
- New York Life Insurance CompanyApr 2013 to Mar 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 1 state (CT).
Gwn Securities Inc.
$4.8BAssets managed
37,793Clients
444Advisers
22 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6186586
- Firm CRD
- 128929