Jeffrey F. Vistica

VISTICA WEALTH ADVISORS

Carlsbad, CA 92011

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CRD#: 4327275

Professional summary

Jeffrey Frank Vistica, AIF®, CFP® is a registered financial advisor currently at VISTICA WEALTH ADVISORS, LLC located in Carlsbad, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jeffrey has worked at 7 firms and has passed the Series 66 and Series 7 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.

JEFFREY VISTICA IS AN INDEPENDENT LICENSED INSURANCE AGENT FOR VARIOUS INSURANCE COMPANIES; CARLSBAD, CA; START DATE: 10/2000; 5 HOURS PER MONTH; 4 HOURS PER MONTH DURING SECURITIES TRADING HOURS; DUTIES: AS PART OF COMPREHENSIVE WEALTH MANAGEMENT PLANNING, JEFF ASSISTS CLIENTS IN REVIEWING EXISTING OR SECURING NEW INSURANCE WHEN NEEDED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Frank Vistica'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 6, 2011 - Present

VISTICA WEALTH ADVISORS, LLC

Office #1: 2121 Palomar Airport Road Suite 160, Carlsbad, CA 92011

RIA

CRD#: 147297

Carlsbad, CA

Past

August 12, 2008 - December 31, 2009

VISTICA WEALTH ADVISORS, LLC

RIA

CRD#: 147297

CARLSBAD, CA

Past

January 1, 2004 - February 17, 2011

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

CARLSBAD, CA

Past

October 15, 2002 - February 17, 2011

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CARLSBAD, CA

Past

March 6, 2002 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 20, 2001 - February 14, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 20, 2001 - February 14, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 12, 2001 - April 5, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

VISTICA WEALTH ADVISORS, LLC

GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC | VISTICA WEALTH ADVISORS, LLC | VISTICA WEALTH ADVISORS | VALIANT PARTNERS

CRD#: 147297 / SEC#: 801-121024

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

California

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/10/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/6/2011)

IAR

Texas
(12/17/2014)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/16/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/9/2001

General Securities Representative Examination

Current Firm

VISTICA WEALTH ADVISORS, LLC

GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC | VISTICA WEALTH ADVISORS, LLC | VISTICA WEALTH ADVISORS | VALIANT PARTNERS

CRD#: 147297 / SEC#: 801-121024

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

California

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/10/2021 Terminated)

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Contact information

Main Address

2121 Palomar Airport Road Suite 160, Carlsbad, CA 92011

Mailing Address

Phone number

(760) 854-4003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VISTICA WEALTH ADVISORS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 131,647,807

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.

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Firm Stability Insights

Jeffrey F. Vistica

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Frank Vistica's CRS (Customer Relationship Summary).

Certified licenses

Experience

VISTICA WEALTH ADVISORS, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA INVESTMENT ADVISERS LLC

CAPITAL BROKERAGE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

VISTICA WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2001

Series 7

Date: 1/9/2001

Current Firm

VISTICA WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISTICA WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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