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Detailed Report
JOSEPH SORIANO PERALTA
CRD#: 2080583
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 PASADENA, CA
CETERA ADVISORS LLCCRD#: 10299 2501 E CHAPMAN AVE SUITE 140
FULLERTON, CA 92831
Registration History
19901995200020052010201520202025BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2008 - 2022 (14 years)BFFP SECURITIES, INC. (CRD# 16337)1990 - 2008 (17 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2007 - 2020 (13 years)IAFFP ADVISORY SERVICES INC (CRD# 110778)1992 - 2007 (14 years)
License(s)

State Registrations

B
Arizona 9/8/2022
B
New Mexico 9/8/2022
IA
California 11/12/2020
B
Oregon 9/8/2022
B
California 9/8/2022
B
South Carolina 9/8/2022
B
Florida 9/8/2022
IA
Texas 11/12/2020
B
Idaho 9/8/2022
B
Texas 9/8/2022
B
Maryland 9/8/2022
B
Utah 9/8/2022
B
Nebraska 9/8/2022
B
Washington 9/8/2022
B
Nevada 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
2501 E CHAPMAN AVE SUITE 140, FULLERTON, CA 92831
PASADENA, CA
Registered with this firm since 9/8/2022
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
PASADENA, CA
2501 E. CHAPMAN AVE #140,, FULLERTON, CA 92831
Registered with this firm since 11/12/2020
Previous Registration(s)
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B
 05/30/2008 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) FULLERTON, CA
IA
 01/01/2007 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) BREA, CA
B
 08/03/1990 - 05/30/2008 FFP SECURITIES, INC. (CRD#:16337) FULLERTON, CA
IA
 11/16/1992 - 01/03/2007 FFP ADVISORY SERVICES INC (CRD#:110778) FULLERTON, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.