Nicholas Garofalo
Nicholas Garofalo is a registered investment advisor at Gwn Securities INC., based in Newtown, CT, with 11 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 37,091 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
GWN Securities offers several managed account programs with fees based on a percentage of your portfolio's value. These fees are typically billed quarterly. The specific fees vary depending on the program you choose and the amount you invest. Some programs have minimum account sizes and platform fees. GWN's fees do not include brokerage and custodial services. GWN may also recommend third-party money managers, which will result in additional fees.
Location
Newtown, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas is an agent with Advisors Insurance Brokers since 2020, focusing on insurance and annuities. He dedicates approximately 60 hours per month to this activity, selling fixed life & annuities, disability insurance, long-term care insurance, and group insurance benefits.
Employment History
Current Registrations
Gwn Securities INC.
Gwn Securities INC.
Gwn Securities INC.Broker
Previous Registrations
Nationwide Securities, LLCBroker
Nylife Securities LLCBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.