Joseph Soriano Peralta

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1990 → Present
  Retirement Distr & Wealth Mgmt. Strategies Inc
  Fullerton, CA
• 05/2008 → 09/2022
  First Allied Securities, Inc.
  Fullerton, CA
• 05/2008 → 11/2020
  First Allied Advisory Services, Inc.
  Fullerton, CA
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Fullerton, CA
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-01-01 → 2020-11-12
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  Brea, CA
  Pasadena, CA
• 1992-11-16 → 2007-01-03
  Ffp Advisory Services Inc
  Fullerton, CA

Other Businesses

1. JOSEPH PERALTA. INSURANCE - AGENT. START DATE 3/13/2008. 2. JOSEPH S. PERALTA & LESLIE S. AQUINO-PERALTA TRUST - CO-TRUSTEE 3. RETIREMENT DISTRIBUTION & WEALTH MGMT. STRATEGIES. DBA/INSURANCE BUSINESS THROUGH CRUMP. START DATE 5/30/2008. 4. PERALTA PLANWORKS LLC; MANAGING MEMBER; REAL ESTATE(RENTAL PROPERTY/PASSIVE INVESTMENT); START DATE 05/30/2012; 4 HRS. PER MONTH. 5. JOSEPH PERALTA NOTARY PUBLIC; NOTARY; NOTARY SERVICES; START DATE 12/09/2013; 4 HOURS PER MONTH.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-08-31
• S63 Uniform Securities Agent State Law Examination
  1990-09-05

Designations

• Certified Financial Planner