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Holly Springs, GA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-06-30 |
| GA | RA | APPROVED | 2024-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Court Solutions, Llc | Woodstock | GA | 10/2014 | 12/2017 |
| I3 Verticals, Llc | Nashville | TN | 12/2017 | Present |
| Openhanded Wealth Llc | Holly Springs | GA | 08/2022 | Present |
Nick Garofalo is currently employed at i3 Verticals, LLC, in Nashville, TN, where he performs financial analysis and reporting. Mr. Garofalo started this position 12/2017. This may create a potential conflict of interest because Nick Garofalo dedicates 100% of his time during trading hours to this activity, however, as a fiduciary, Mr. Garofalo has a duty of utmost good faith to act solely in the best interests of each Client and will ensure all Client's needs are promptly addressed. This conflict is mitigated as OW's investment strategy does not involve daily active trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-12-21 |
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