Joseph C. Ciocca

CETERA INVESTMENT ADVISERS LLC

EL SEGUNDO, CA 90245

Some features on this profile are disabled

CRD#: 3131488

Professional summary

Joseph Chris Ciocca, CIMA®, who also goes by Joseph C Ciocca, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph C Ciocca

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) NAME OF OTHER BUSINESS: HARBOR LAKES BOARD OF DIRECTORS; INVESTMENT RELATED: NO; ADDRESS: 1155 SANDPIPER ST NAPLES, FL 34102; NATURE OF BUSINESS: CONDO ASSOCIATION; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/VP; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER ACTIVITIES FOR HOMEOWNERS ASSOCIATION;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Chris Ciocca'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

RIA

CRD#: 105644

EL SEGUNDO, CA

Current

May 4, 2012 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

May 4, 2012 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

May 4, 2012 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Current

January 21, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Past

September 10, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 10, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

February 10, 2015 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

February 10, 2015 - November 9, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 10, 2015 - December 14, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

February 10, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

January 21, 2015 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 7, 2012 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MARSHFIELD, MA

Past

January 19, 2010 - April 23, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHARLESTOWN, MA

Past

January 14, 2010 - April 23, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHARLESTOWN, MA

Past

March 27, 2006 - March 24, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOSTON, MA

Past

March 23, 2006 - March 24, 2009

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

July 22, 2005 - September 19, 2005

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

June 21, 2005 - September 19, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

July 29, 1999 - June 20, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(5/4/2012)

Massachusetts
(5/4/2012)

IAR

Massachusetts
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/21/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph C. Ciocca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Chris Ciocca's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

VSR FINANCIAL SERVICES, INC.

GIRARD SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

INVESTORS CAPITAL CORP.

LEGEND EQUITIES CORPORATION

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/21/2005

Series 65

Date: 10/7/1999

Series 63

Date: 9/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors