JD
Joseph P. Dimino
CETERA INVESTMENT ADVISERS LLC
MISSION VIEJO, CA 92692
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CRD#: 4036159
JD
Professional summary
Joseph P Dimino, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mission Viejo, California and CETERA WEALTH SERVICES, LLC located in Mission Viejo, 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 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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) STATE BAR OF CA CLIENT SECURITY FUND COMMISSION POSITION: Committee Member (Volunteer) NATURE: The Client Security Fund (CSF) of the State of California provides restitution to clients who were victims of attorney theft. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2020 ADDRESS: 23120 Alicia Parkway, Suite 200, Mission Viejo CA 92692, United States DESCRIPTION: I am one of five Client Security Fund Commission members who review tentative decisions, objections, supporting materials, and the administrative records for CFF applications. The Commission makes legal determinations about whether a matter qualifies for reimbursement. These decisions are a final legal adjudication and constitute the State Bar's final action on the application for reimbursement. 4) FIXED INDEXED ANNUITIES POSITION: Registered Rep NATURE: Fixed Indexed Annuity Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2023 ADDRESS: 23120 Alicia Parkway, Suite 200, Mission Viejo CA 92692, United States DESCRIPTION: Selling fixed indexed annuities to clients who may qualify for this type of product if it fits into their retirement plan. 5) Dimino Braunsen & Associates; Owner/Sole Proprietor; Tax Preparation/Accounting; NIR; 120; 01/01/2000; Costa Mesa CA 92627; Owner of Tax firm
CRS (Client Relationship Summary) - RIA
Click below to view Joseph P Dimino'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®
CFP®
Start date: 2022
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 23120 Alicia Parkway Suite 221-f, Mission Viejo, CA 92692RIA
CRD#: 105644
MISSION VIEJO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 23120 Alicia Parkway Suite 200, Mission Viejo, CA 92692BD
CRD#: 13572
Mission Viejo, CA
Past
January 5, 2015 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MISSION VIEJO, CA
Past
November 18, 2011 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mission Viejo, CA
Past
September 4, 2009 - November 18, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
COSTA MESA, CA
Past
June 6, 2000 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
COSTA MESA, CA
Past
December 13, 1999 - June 5, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Illinois(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/12/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
