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Juan Carlos Peralta

Juan Carlos Peralta

ROOF EIDAM MAYCOCK PERALTA LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2231573
Juan Carlos Peralta

Professional summary

Juan Carlos Peralta, CFP®, who also goes by John Peralta, Johnny Peralta, Juan Carlos Peralta, Juancarlos Peralta, is a registered financial advisor currently at ROOF EIDAM MAYCOCK PERALTA LLC located in San Francisco, California.

Juan Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Juan Carlos has worked at 5 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Education Planning
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes

Aliases

John Peralta | Johnny Peralta | Juan Carlos Peralta | Juancarlos Peralta

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 Juan Carlos Peralta'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®
CFP®

Certified Financial Planner

Start date: 1999

Experience

Current

July 8, 1997 - Present

ROOF EIDAM MAYCOCK PERALTA LLC

Office #1: 235 Pine St. Suite 1200, San Francisco, CA 94104
RIA
CRD#: 106696
San Francisco, CA
Past

September 8, 2009 - August 16, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN FRANCISCO, CA
Past

December 2, 1996 - September 8, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
SAN FRANCISCO, CA
Past

November 25, 1992 - March 29, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 23, 1992 - July 15, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
RE
ROOF EIDAM MAYCOCK PERALTA LLC
ROOF EIDAM & MAYCOCK | ROOF, EIDAM & MAYCOCK, LLC | ROOF, EIDAM & MAYCOCK | ROOF EIDAM MAYCOCK PERALTA LLC

CRD#: 106696 / SEC#: 801-53480

RIA
Registered Investment Advisory firm - (12/19/1996 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.

Highlighted states indicate IAR registrations

IAR
California
(7/8/1997)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/1996
General Securities Representative Examination

Current Firm

RE
ROOF EIDAM MAYCOCK PERALTA LLC
ROOF EIDAM & MAYCOCK | ROOF, EIDAM & MAYCOCK, LLC | ROOF, EIDAM & MAYCOCK | ROOF EIDAM MAYCOCK PERALTA LLC

CRD#: 106696 / SEC#: 801-53480

RIA
Registered Investment Advisory firm - (12/19/1996 Approved)
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Contact information

Main Address
235 Pine St. Suite 1200, San Francisco, CA 94132
Mailing Address
Phone number
(415) 788-4600
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

REM PART 2A APPENDIX 1 INSTITUTIONAL WRAP FEE BROCHURE (2/4/2025)
REM PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts949
AUM (Assets Under Management)$ 727,087,215

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.

Company Information

ROOF EIDAM MAYCOCK PERALTA LLC

CRD#: 106696San Francisco, CA 94104

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