William A. Gonzalez

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CRD#: 3094473

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Arthur Gonzalez, CIMA®, CPWA®, who also goes by Will Gonzalez, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1998. William had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Will Gonzalez

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2021-01-05

Expire date: 2024-11-30

Experience

Past

July 25, 2022 - September 27, 2023

CAPITAL INVESTMENT ADVISORS

RIA

CRD#: 118269

WASHINGTON D.C., DC

Past

April 25, 2022 - June 2, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Washington, DC

Past

January 28, 2016 - April 6, 2022

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

December 23, 2015 - April 6, 2022

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

Vienna, VA

Past

July 18, 2011 - July 8, 2013

KEEL POINT ADVISORS, LLC

RIA

CRD#: 139379

VIENNA, VA

Past

June 30, 2009 - July 9, 2013

WFG INVESTMENTS, INC.

CRD#: 22704

VIENNA, VA

Past

January 9, 2009 - June 30, 2009

AMERICAN SECURITIES GROUP, INC.

CRD#: 43730

VIENNA, VA

Past

July 11, 2006 - August 13, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MIAMI, FL

Past

July 18, 2005 - January 24, 2006

HYBRID TRADING & RESOURCES, LLC

CRD#: 133030

CHICAGO, IL

Past

October 8, 1999 - January 5, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

August 27, 1998 - August 30, 1999

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INVESTMENT ADVISORS

CRD#: 118269 / SEC#: 801-110008

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Delaware

Registered Investment Advisory firm - (3/15/2017 Terminated)

District of Columbia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Maryland

Registered Investment Advisory firm - (4/14/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/15/2017 Terminated)

Virginia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/2/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/5/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL INVESTMENT ADVISORS

CRD#: 118269 / SEC#: 801-110008

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Delaware

Registered Investment Advisory firm - (3/15/2017 Terminated)

District of Columbia

Registered Investment Advisory firm - (3/13/2017 Terminated)

Maryland

Registered Investment Advisory firm - (4/14/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/15/2017 Terminated)

Virginia

Registered Investment Advisory firm - (3/13/2017 Terminated)

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Contact information

Main Address

1000 Potomac Street N.w. Suite 300, Washington D.c., DC 20007

Mailing Address

Phone number

(240) 482-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIA FORM ADV 2A FIRM BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,416
AUM (Assets Under Management)	$ 302,256,086

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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Firm Stability Insights

William A. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CNR SECURITIES, LLC

CITY NATIONAL ROCHDALE

KEEL POINT ADVISORS, LLC

WFG INVESTMENTS, INC.

AMERICAN SECURITIES GROUP, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

HYBRID TRADING & RESOURCES, LLC

FSC SECURITIES CORPORATION

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2005

Series 6

Date: 8/5/1998

Current Firm

CAPITAL INVESTMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORS

TRUST BUT VERIFY

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