Nicole Slawinski

CAPFINANCIAL SECURITIES.

Lake Success, NY 11042

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CRD#: 6074772

Professional summary

Nicole Slawinski, who also goes by Nicole Elizabeth Galofaro, Nicole Galofaro, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Lake Success, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2012. Nicole has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicole Elizabeth Galofaro | Nicole Galofaro

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Slawinski's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 26, 2025 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 3 Dakota Drive Suite 310, Lake Success, NY 11042

CRD#: 126291

Lake Success, NY

Past

April 9, 2020 - April 11, 2025

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

NEW YORK, NY

Past

May 5, 2017 - March 9, 2020

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

March 28, 2017 - April 28, 2017

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

July 30, 2013 - April 28, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

July 19, 2013 - April 28, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 15, 2012 - July 2, 2013

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

LATHAM, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/26/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/22/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291 / SEC#: , 8-65870

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Mailing Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Phone number

(919) 870-6822

Established

North Carolina since 11/21/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
THE CAPFINANCIAL GROUP, LLC	MEMBER
BUCHANAN, DENISE MCGEE	CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO	1284353
EARLS, MARY CHRISTINE	SENIOR DIRECTOR/FINOP	6178047
HOYLE, WILSON SMITH III	MANAGING DIRECTOR	2444392
SHOFF, DERICK DON	MANAGING DIRECTOR	1140640
STROTHER, MICHAEL DAVID	SENIOR DIRECTOR, FINOP	2457427

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicole Slawinski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Slawinski's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERCER ALLIED COMPANY, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2012

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2012

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPFINANCIAL SECURITIES, LLC.

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