Niccolo A. Gonzales

CETERA INVESTMENT ADVISERS LLC

DURHAM, NC 27713

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CRD#: 4552092

Professional summary

Niccolo Alfred Gonzales, who also goes by Nick Gonzales, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Durham, North Carolina and CETERA WEALTH SERVICES, LLC located in Durham, North Carolina.

Niccolo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Niccolo has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Gonzales

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.

NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2022 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Offering client group/employee benefits and fixed insurance options outside of the carriers that have selling arrangement with Securian Financial or MN Life Insurance Co. LAUNCH MORRISVILLE MENTOR POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/02/2022 ADDRESS: 260 Town Hall Dr., Suite A, Morrisville NC 27560, United States DESCRIPTION: The Morrisville Chamber of Commerce has a program called Launch Morrisville where they help aspiring business owners get their business up and running. One of the programs they offer is to work with a mentor. That is the capacity I would be working in, is to mentor one of the business owners in the Launch Morrisville program. The responsibility would be to meet with the business owner once a month to just provide support and mentoring.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Niccolo Alfred Gonzales'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

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5129 Nc Hwy 55 St 101, Durham, NC 27713

RIA

CRD#: 105644

DURHAM, NC

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5129 Nc Hwy 55 Suite 101, Durham, NC 27713

CRD#: 5478

KNIGHTDALE, NC

Past

July 10, 2009 - October 20, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

GREENSBORO, NC

Past

October 24, 2002 - July 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HIGH POINT, NC

Past

October 24, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 24, 2002 - July 8, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HIGH POINT, NC

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

North Carolina
(8/10/2023)

IAR

North Carolina
(8/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2002

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: 10/23/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/29/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Niccolo A. Gonzales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Niccolo Alfred Gonzales's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2002

Series 9

Date: 8/29/2007

Series 24

Date: 6/2/2007

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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