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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Niccolo Alfred Gonzales

Advisor at W&S BROKERAGE SERVICES, INC.

Cary, NC

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Search this name across graphsid dfx:ria:6c9961e8-bf60-64b0-c219-4f1df5a73443

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Oct 24, 2002 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: W&S BROKERAGE SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 27, 2002
First registration: Oct 24, 2002
Dual registered: yes, broker-dealer
Other names: NICK GONZALES
IAPD individual key: 4552092

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
W&S BROKERAGE SERVICES, INC.	Bd affiliated wealth	Mar 23, 2026	n/a	yes	Cary, NC	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 10, 2023	Feb 6, 2026	no	DURHAM, NC	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 18, 2022	Aug 10, 2023	no	MINNEAPOLIS, MN\|Durham, NC\|ST. PAUL, MN	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jun 28, 2021	Aug 15, 2022	no	RALEIGH, NC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Nov 7, 2017	Oct 12, 2020	no	CHARLOTTE, NC	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Sep 1, 2015	Sep 5, 2017	no	RALEIGH, NC\|CARY, NC	Previous registration
LINCOLN INVESTMENT	Independent wealth	Jun 1, 2012	Aug 28, 2015	no	KNIGHTDALE, NC	Previous registration
CINCINNATI ANALYSTS, INC	Former SEC adviser	Jan 12, 2011	Jun 1, 2012	no	KNIGHTDALE, NC\|CINCINNATI, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 24, 2002	Jul 8, 2009	no	Winston Salem, NC\|HIGH POINT, NC	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
CETERA INVESTMENT ADVISERS LLC	W&S BROKERAGE SERVICES, INC.	Feb 6, 2026	Mar 23, 2026	45	Firm change	Ibd to ibd
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
PARK AVENUE SECURITIES LLC	SECURIAN FINANCIAL SERVICES, INC.	Aug 15, 2022	Aug 18, 2022	3	Firm change	Ibd to RIA
PRUCO SECURITIES, LLC	PARK AVENUE SECURITIES LLC	Oct 12, 2020	Jun 28, 2021	259	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	PRUCO SECURITIES, LLC	Sep 5, 2017	Nov 7, 2017	63	Firm change	Ibd to ibd
LINCOLN INVESTMENT	EQUITABLE ADVISORS, LLC	Aug 28, 2015	Sep 1, 2015	4	Firm change	Other
CINCINNATI ANALYSTS, INC	LINCOLN INVESTMENT	Jun 1, 2012	Jun 1, 2012	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CINCINNATI ANALYSTS, INC	Jul 8, 2009	Jan 12, 2011	553	Firm change after gap	Other

Relationships

Registered with (9)

→ W&S BROKERAGE SERVICES, INC.Registered adviserregistration: current employment
Mar 23, 2026 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Aug 10, 2023 to Feb 6, 2026factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 18, 2022 to Aug 10, 2023factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Jun 28, 2021 to Aug 15, 2022factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 7, 2017 to Oct 12, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 1, 2015 to Sep 5, 2017factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Jun 1, 2012 to Aug 28, 2015factForm ADV
→ CINCINNATI ANALYSTS, INCRegistered adviserregistration: previous registration
Jan 12, 2011 to Jun 1, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 24, 2002 to Jul 8, 2009factForm ADV

Dated events

Occurred
Feb 6, 2026
Advisor changed firm
Niccolo Alfred Gonzales left Cetera Investment Advisers Llc for W&S Brokerage Services, Inc. (registered 2026-03-23)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2022
Advisor changed firm
Niccolo Alfred Gonzales left Park Avenue Securities Llc for Securian Financial Services, Inc. (registered 2022-08-18)
Form ADVobserved 5 days ago