Joseph Chris Ciocca

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2023-06-29

MA RA
APPROVED

Since 2023-06-29

Branch Locations

N Marshfield, MA • United States

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	05/2012	Present
Cetera Advisors Llc	Denver	CO	01/2013	Present
Cetera Financial Specialists Llc	Shaumberg	IL	01/2013	Present
Cetera Investment Services Llc	Saint Cloud	MN	01/2013	Present
First Allied Securities, Inc.	San Diego	CA	01/2015	09/2022
Investors Capital Corp	Lynnfield	MA	01/2015	11/2016
Legend Equities Corporation	Palm Beach Gardens	FL	01/2015	12/2016
Summit Brokerage Services, Inc.	Boca Raton	FL	01/2015	Present
Vsr Financial Services, Inc.	Overland Park	KS	09/2015	11/2016
Girard Securities, Inc.	San Diego	CA	09/2015	11/2017
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

05/2012 → Present

Cetera Wealth Services, Llc

El Segundo, CA
01/2013 → Present

Cetera Advisors Llc

Denver, CO
01/2013 → Present

Cetera Financial Specialists Llc

Shaumberg, IL
01/2013 → Present

Cetera Investment Services Llc

Saint Cloud, MN
01/2015 → 09/2022

First Allied Securities, Inc.

San Diego, CA
01/2015 → 11/2016

Investors Capital Corp

Lynnfield, MA
01/2015 → 12/2016

Legend Equities Corporation

Palm Beach Gardens, FL
01/2015 → Present

Summit Brokerage Services, Inc.

Boca Raton, FL
09/2015 → 11/2016

Vsr Financial Services, Inc.

Overland Park, KS
09/2015 → 11/2017

Girard Securities, Inc.

San Diego, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2010-01-19 → 2012-04-23

Ameriprise Financial Services, Llc

Middleton, MA
2006-03-27 → 2009-03-24

Lpl Financial Llc

Boston, MA
2005-07-22 → 2005-09-19

Bofa Advisors, Llc

Boston, MA

Other Businesses

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;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-21
S65	Uniform Investment Adviser Law Examination	1999-10-07
S63	Uniform Securities Agent State Law Examination	1999-09-15

S66 Uniform Combined State Law Examination

2005-07-21
S65 Uniform Investment Adviser Law Examination

1999-10-07
S63 Uniform Securities Agent State Law Examination

1999-09-15

Other Names

Joseph C Ciocca

View on SEC IAPD