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Paul Vincent Fiocca

Cetera Investment Advisers LLC

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About Paul Vincent Fiocca

Paul Fiocca has over 25 years of experience in the financial services industry. Paul is registered as a Registered Representative and Investment Adviser Representative with Cetera Investment Advisers LLC. Paul is currently registered in 11 states, including California, Texas, Arizona, Idaho, Illinois, Indiana, Michigan, Nevada, North Carolina, and Texas. Paul holds the Series 7, Series 63 and SIE licenses. Paul specializes in working with high net worth individuals, corporations, businesses, charitable organizations, pension and profit sharing plans, and state or municipal government entities. Paul provides financial planning, portfolio management, and other advisory services.

Firm Information

Paul Fiocca is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Paul Fiocca’s Registration & Firm History

CA

06/29/2023 - Present

Cetera Investment Advisers LLC (DANA POINT CA)

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Licenses & Designations

BC

Issued 2/27/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/27/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Paul Vincent Fiocca.
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