JP
Joseph S. Peralta
CETERA INVESTMENT ADVISERS LLC
PASADENA, CA 91101
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CRD#: 2080583
JP
Professional summary
Joseph Soriano Peralta, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA ADVISORS LLC located in Fullerton, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. JOSEPH PERALTA. INSURANCE - AGENT. START DATE 3/13/2008.
2. JOSEPH S. PERALTA & LESLIE S. AQUINO-PERALTA TRUST - CO-TRUSTEE
3. RETIREMENT DISTRIBUTION & WEALTH MGMT. STRATEGIES. DBA/INSURANCE BUSINESS THROUGH CRUMP. START DATE 5/30/2008.
4. PERALTA PLANWORKS LLC; MANAGING MEMBER; REAL ESTATE(RENTAL PROPERTY/PASSIVE INVESTMENT); START DATE 05/30/2012; 4 HRS. PER MONTH.
5. JOSEPH PERALTA NOTARY PUBLIC; NOTARY; NOTARY SERVICES; START DATE 12/09/2013; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Soriano Peralta's 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®
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 S Los Robles Ave Ste# 440, Pasadena, CA 91101Office #2: 2501 E. Chapman Ave #140,, Fullerton, CA 92831RIA
CRD#: 105644
PASADENA, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 2501 E Chapman Ave Suite 140, Fullerton, CA 92831BD
CRD#: 10299
Fullerton, CA
Past
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
FULLERTON, CA
Past
January 1, 2007 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
BREA, CA
Past
November 16, 1992 - January 3, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
FULLERTON, CA
Past
August 3, 1990 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
FULLERTON, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(9/8/2022)
IAR
California(11/12/2020)
RR
California(9/8/2022)
RR
Florida(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(6/20/2025)
RR
Maryland(9/8/2022)
RR
Massachusetts(5/23/2025)
RR
Nebraska(9/8/2022)
RR
Nevada(9/8/2022)
RR
New Mexico(9/8/2022)
RR
Oregon(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Utah(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
