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Niccolo Alfred Gonzales
NICK GONZALES
CRD#: 4552092
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 5129 NC HWY 55
ST 101
DURHAM, NC 27713
CETERA ADVISOR NETWORKS LLCCRD#: 13572 5129 NC Hwy 55
Suite 101
Durham, NC 27713
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2009 (6 years)2 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2020 (3 years)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BCAPITAL ANALYSTS, INCORPORATED (CRD# 5478)2010 - 2012 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)2009 - 2010 (1 year)BIDS LIFE INSURANCE COMPANY (CRD# 6321)2002 - 2006 (3 years)IACAPITAL ANALYSTS INCORPORATED (CRD# 5478)2011 - 2012 (1 year)
Disclosure(s)
View By:
9/2/2008
Customer Dispute
Settled
9/26/2005
Customer Dispute
Denied
License(s)

State Registrations

B
North Carolina 8/10/2023

IA
North Carolina 8/10/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
5129 NC HWY 55 ST 101, DURHAM, NC 27713
Registered with this firm since 8/10/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
5129 NC Hwy 55 Suite 101, Durham, NC 27713
Registered with this firm since 8/10/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/18/2022 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) Durham, NC
B
08/16/2022 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) Durham, NC
IA
06/28/2021 - 08/15/2022 PARK AVENUE SECURITIES LLC (CRD#:46173) RALEIGH, NC
B
06/11/2021 - 08/15/2022 PARK AVENUE SECURITIES LLC (CRD#:46173) RALEIGH, NC
IA
11/07/2017 - 10/12/2020 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) CHARLOTTE, NC
B
09/22/2017 - 10/12/2020 PRUCO SECURITIES, LLC. (CRD#:5685) CHARLOTTE, NC
IA
09/01/2015 - 09/05/2017 AXA ADVISORS, LLC (CRD#:6627) RESEARCH TRIANGLE PARK, NC
B
09/01/2015 - 09/05/2017 AXA ADVISORS, LLC (CRD#:6627) RESEARCH TRIANGLE PARK, NC
IA
06/01/2012 - 08/28/2015 LINCOLN INVESTMENT PLANNING, LLC (CRD#:519) KNIGHTDALE, NC
B
06/01/2012 - 08/28/2015 LINCOLN INVESTMENT (CRD#:519) KNIGHTDALE, NC
IA
01/12/2011 - 06/01/2012 CAPITAL ANALYSTS INCORPORATED (CRD#:5478) KNIGHTDALE, NC
B
11/05/2010 - 06/01/2012 CAPITAL ANALYSTS, INCORPORATED (CRD#:5478) KNIGHTDALE, NC
B
07/10/2009 - 10/20/2010 MML INVESTORS SERVICES, INC. (CRD#:10409) GREENSBORO, NC
IA
10/24/2002 - 07/08/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) HIGH POINT, NC
B
10/24/2002 - 07/08/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) HIGH POINT, NC
B
10/24/2002 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.