PF
PF
Paul Fiocca
29 Years of Experience
Dana Point, CA
Broker
Paul Fiocca is a registered investment advisor at Cetera Investment Advisers LLC, based in Dana Point, CA, with 29 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Dana Point, CA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
January 1997 - Present · 29 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
November 1997 - June 2023 · 25 yrs 7 mos
State Registrations8 states
CAIDINMIMONVSCTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.