Nicholas Michael Garofalo

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 03/2017
  New York Life Insurance Company
  Stratford, CT
• 03/2014 → 03/2017
  Nylife Securities Llc
  Stratford, CT
• 03/2017 → 01/2020
  Nsllc
  North Haven, CT
• 03/2017 → 06/2021
  Nationwide Financial
  North Haven, CT
• 01/2020 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Other Businesses

ADVISORS INSURANCE BROKERS POSITION: Agent NATURE: Insurance & Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 2 START DATE: 01/22/2020 ADDRESS: 11 Executive Park Drive, Clifton Park NY 12065, United States DESCRIPTION: Fixed Life & Annuities, Disability Insurance, Long Term Care Insurance, Group Insurance Benefits

Exams

• S66 Uniform Combined State Law Examination
  2020-06-23
• S63 Uniform Securities Agent State Law Examination
  2016-08-01

Other Names

• Nicholas Garofalo