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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Gonzalo A Figueroa Ortega

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Montclair, NJ

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Search this name across graphsid dfx:ria:5fd9e62a-bd9c-baf0-dd0e-8b9d1720d67b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 15, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 1, 2019
First registration: Feb 15, 2019
Dual registered: yes, broker-dealer
Other names: Gonzalo A Figueroa|Gonzalo Figueroa|Gonzalo Alfonso Figueroa-Ortega
IAPD individual key: 7036043

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 27, 2026	n/a	yes	Montclair, NJ	Current employment
Q3 ADVISORS, LLC	No RAUM reported	Jul 15, 2025	May 6, 2026	no	Little Ferry, NJ	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 16, 2023	Apr 2, 2025	no	SCOTTSDALE, AZ	Previous registration
GATEWAY ADVISORY, LLC	Former SEC adviser	Jan 27, 2022	Aug 23, 2023	no	MOUNTAINSIDE, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 15, 2019	Dec 16, 2021	no	MONTVALE, NJ\|ISELIN, NJ\|ELMWOOD PARK, NJ\|NEW YORK, NY\|NORWOOD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Q3 ADVISORS, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	May 6, 2026	Jul 27, 2026	82	Firm change	Other
OSAIC WEALTH, INC.	Q3 ADVISORS, LLC	Apr 2, 2025	Jul 15, 2025	104	Firm change	Other
GATEWAY ADVISORY, LLC	OSAIC WEALTH, INC.	Aug 23, 2023	Aug 16, 2023	-7	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	GATEWAY ADVISORY, LLC	Dec 16, 2021	Jan 27, 2022	42	Firm change	Wirehouse to RIA

Relationships

Registered with (5)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Jul 27, 2026 to presentfactForm ADV
→ Q3 ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 15, 2025 to May 6, 2026factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Aug 16, 2023 to Apr 2, 2025factForm ADV
→ GATEWAY ADVISORY, LLCRegistered adviserregistration: previous registration
Jan 27, 2022 to Aug 23, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 15, 2019 to Dec 16, 2021factForm ADV

Dated events

Occurred
May 6, 2026
Advisor changed firm
Gonzalo A Figueroa Ortega left Q3 Advisors, Llc for Northwestern Mutual Investment Services,Llc (registered 2026-07-27)
Form ADVobserved 5 days ago
Occurred
Apr 2, 2025
Advisor changed firm
Gonzalo A Figueroa Ortega left Osaic Wealth, Inc. for Q3 Advisors, Llc (registered 2025-07-15)
Form ADVobserved 5 days ago
Occurred
Aug 23, 2023
Advisor changed firm
Gonzalo A Figueroa Ortega left Gateway Advisory, Llc for Osaic Wealth, Inc. (registered 2023-08-16)
Form ADVobserved 5 days ago