Niccolo A. Gonzales

W&S BROKERAGE SERVICES

Cary, NC 27513-2117

CRD#: 4552092

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Professional summary

Niccolo Alfred Gonzales, who also goes by Nick Gonzales, is a registered financial advisor currently at W&S BROKERAGE SERVICES, INC. located in Cary, 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 12 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

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

March 23, 2026 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 1001 Winstead Drive Suite 385, Cary, NC 27513-2117

RIA

CRD#: 8099

Cary, NC

Current

March 18, 2026 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 1001 Winstead Drive Suite 385, Cary, NC 27513-2117

RIA

CRD#: 8099

Cary, NC

Past

August 10, 2023 - February 6, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DURHAM, NC

Past

August 10, 2023 - February 6, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Durham, NC

Past

August 18, 2022 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Durham, NC

Past

August 16, 2022 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Durham, NC

Past

June 28, 2021 - August 15, 2022

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

RALEIGH, NC

Past

June 11, 2021 - August 15, 2022

PARK AVENUE SECURITIES LLC

CRD#: 46173

RALEIGH, NC

Past

November 7, 2017 - October 12, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CHARLOTTE, NC

Past

September 22, 2017 - October 12, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

CHARLOTTE, NC

Past

September 1, 2015 - September 5, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

Past

September 1, 2015 - September 5, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

RESEARCH TRIANGLE PARK, NC

Past

June 1, 2012 - August 28, 2015

LINCOLN INVESTMENT

RIA

CRD#: 519

KNIGHTDALE, NC

Past

June 1, 2012 - August 28, 2015

LINCOLN INVESTMENT

CRD#: 519

KNIGHTDALE, NC

Past

January 12, 2011 - June 1, 2012

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

KNIGHTDALE, NC

Past

November 5, 2010 - June 1, 2012

CINCINNATI ANALYSTS, INC.

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".

W&S BROKERAGE SERVICES, INC.

COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA

Registered Investment Advisory firm - SEC (9/6/2018 Approved)

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

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
(3/19/2026)

IAR

North Carolina
(3/23/2026)

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

W&S BROKERAGE SERVICES, INC.

COUNTRYWIDE INVESTMENTS, INC. | W&S BROKERAGE SERVICES, INC. | ROBERT H. LESHNER & CO., INC. | FT. WASHINGTON BROKERAGE SERVICES, INC. | FORT WASHINGTON BROKERAGE SERVICES, INC.

CRD#: 8099 / SEC#: 801-113946, 8-24674

RIA

Registered Investment Advisory firm - SEC (9/6/2018 Approved)

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

PREMIUM

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Contact information

Main Address

400 Broadway, Cincinnati, OH 45202

Mailing Address

400 Broadway Ms-03, Cincinnati, OH 45202

Phone number

(513) 629-1055

Established

Ohio since 05/21/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

W&S WEALTH SOLUTIONS BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY	OWNER
BRODIE, TROY DALE	PRESIDENT	1924559
DELUCA, JAMES JOSEPH	VP, MARKETING	5420948
HERRON, SARAH SPARKS	CORPORATE SECRETARY	6905684
JOHNSON, JAY VINCENT	TREASURER	6607547
LOVELESS, MATTHEW WILLIAM	VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION	5657647
LUEBBE, GREGORY MICHAEL	ASSISTANT VICE PRESIDENT	2924719
MCGRUDER, JILL TRIPP	DIRECTOR	1221720
MOURNE, DOUGLAS EDWARD	AVP, BROKERAGE OPERATIONS	2999021
NIEMEYER, JONATHAN DAVID	DIRECTOR	5863603
SCOTT, SHAWN MICHAEL	CHIEF COMPLIANCE OFFICER	4673623
STEARNS, TIMOTHY STEVEN	VP, COMPLIANCE OFFICER	1327230
WIEDENHEFT, TERRIE ANN	SENIOR VICE PRESIDENT AND CFO	2619213
WITTMAN, SCOTT JOSEPH	VP TAX	7679752
WUEBBLING, DONALD JOSEPH	DIRECTOR	473438

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 175,814,665

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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We're Here To Help

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).

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

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

W&S BROKERAGE SERVICES, INC.

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

W&S BROKERAGE SERVICES, INC.

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

W&S BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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