Niccolo GonzalesCRD Number: 4552092
Current Firm: Prudential Financial Planning Services
Niccolo Gonzales (CRD# 4552092) is an Investment Advisor Representative working at Prudential Financial Planning Services in Charlotte, NC and has over 15 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|The Prudential Insurance Company Of America||Charlotte, NC||Aug 2017 - Current||< 1|
|Pruco Securities, LLC||Charlotte, NC||Aug 2017 - Current||< 1|
|Axa Advisors, LLC||New York, NY||Aug 2015 - Aug 2017||2|
|Lincoln Investment||Knightdale, NC||Jun 2012 - Aug 2015||3|
|Capital Analysts Inc.||Cincinnatti, OH||Oct 2010 - Jun 2012||1|
|Mml Investors Services Inc.||Greensboro, NC||Jul 2009 - Oct 2010||1|
|Massmutual Financial Group||Greensboro, NC||Jul 2009 - Oct 2010||1|
|Ids Life Insurance Company||Greensboro, NC||Jun 2002 - Jul 2009||7|
|American Express Financial Advisors||Greensboro, NC||Feb 2002 - Jul 2009||7|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management5,161MILLIONS
Total Number of Accounts41,530ACCOUNTS
Average Account Value$124,275
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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