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Niccolo Gonzales

W&s Brokerage Services, INC.
23 Years of Experience
Cary, NC
2 DisclosuresBroker
View SEC Summary
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Niccolo Gonzales is a registered investment advisor at W&s Brokerage Services, INC., based in Cary, NC, with 23 years of industry experience. Niccolo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning, Socially Responsible Investing, and 1 more. Their firm serves 772 clients with $260M in assets under management.

W&s Brokerage Services, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
104 advisors
Number of Clients
772 clients
Average Client Portfolio
$333K average
Assets Under Management
$257.2M

Fee Structure

Minimum Investment:$75K
Investment management only (planning not offered)
Minimum Annual Fee:$1,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.40%
$500K - $750K1.30%
$750K+1.10%

Fees may be negotiable at the sole discretion of W&S Brokerage Services, Inc. Potential fee reductions apply if funded from previous accounts that incurred commissions within 36 months.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1001 Winstead Drive, Suite 385, Cary, NC, 27513-2117

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2008
Settled
Customer Dispute
September 2005
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
W&s Brokerage Services, INC.
March 2026 - Present · 7 mos
W&s Brokerage Services, INC.Broker
March 2026 - Present · 7 mos
Previous Registrations
Cetera Wealth Services, LLCBroker
August 2023 - February 2026 · 2 yrs 6 mos
Cetera Investment Advisers LLC
August 2023 - February 2026 · 2 yrs 6 mos
Securian Financial Services, INC.
August 2022 - August 2023 · 1 yr
Securian Financial Services, INC.Broker
August 2022 - August 2023 · 1 yr
Park Avenue Securities LLC
June 2021 - August 2022 · 1 yr 2 mos
Park Avenue Securities LLCBroker
June 2021 - August 2022 · 1 yr 2 mos
Prudential Financial Planning Services
November 2017 - October 2020 · 2 yrs 11 mos
Pruco Securities, LLC.Broker
September 2017 - October 2020 · 3 yrs 1 mo
AXA Advisors, LLCBroker
September 2015 - September 2017 · 2 yrs
AXA Advisors, LLC
September 2015 - September 2017 · 2 yrs
Lincoln InvestmentBroker
June 2012 - August 2015 · 3 yrs 2 mos
Lincoln Investment Planning, LLC
June 2012 - August 2015 · 3 yrs 2 mos
Capital Analysts Incorporated
January 2011 - June 2012 · 1 yr 5 mos
Capital Analysts, IncorporatedBroker
November 2010 - June 2012 · 1 yr 7 mos
MML Investors Services, INC.Broker
July 2009 - October 2010 · 1 yr 3 mos
Ameriprise Financial Services, INC.
October 2002 - July 2009 · 6 yrs 9 mos
Ameriprise Financial Services, INC.Broker
October 2002 - July 2009 · 6 yrs 9 mos
Ids Life Insurance CompanyBroker
October 2002 - July 2006 · 3 yrs 9 mos
State Registrations1 state
NC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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