Alexander J. Sarafianos

CETERA INVESTMENT ADVISERS LLC

ST PETERSBURG, FL 33701

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CRD#: 1674152

Professional summary

Alexander John Sarafianos, who also goes by Alex Sarafianos, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Petersburg, Florida and CETERA INVESTMENT SERVICES LLC located in St Petersburg, Florida.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Alexander has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Sarafianos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander John Sarafianos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 510 Central Ave, St Petersburg, FL 33701Office #2: 250 Riverchase Parkway E, Birmingham, AL 35244

RIA

CRD#: 105644

ST PETERSBURG, FL

Current

November 1, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 510 Central Ave, St Petersburg, FL 33701Office #2: 3548 Highway 431 North, Phenix City, AL 36867Office #3: 2050 Parkway Office Circle 4th Fl, Hoover, AL 35244

CRD#: 15340

St Petersburg, FL

Past

November 1, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

BEAUFORT, SC

Past

April 20, 2006 - November 5, 2012

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

November 14, 2005 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

November 10, 2005 - November 5, 2012

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

TAMPA, FL

Past

October 27, 2000 - October 17, 2005

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

January 16, 1995 - May 3, 2000

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

February 23, 1993 - September 21, 1994

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

August 1, 1991 - February 24, 1993

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

October 14, 1987 - August 1, 1991

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

May 21, 1987 - October 1, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/1/2013)

IAR

Alabama
(1/21/2014)

Florida
(11/1/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/12/1989

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alexander J. Sarafianos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander John Sarafianos's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

AMSOUTH INVESTMENT SERVICES, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

IFMG SECURITIES, INC.

PAMCO SECURITIES AND INSURANCE SERVICES

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2005

Series 63

Date: 6/5/1987

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Series 24

Date: 7/13/2006

Series 26

Date: 9/12/1989

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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