Brian S. Suraf

CETERA INVESTMENT ADVISERS LLC

MALONE, NY 12953

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CRD#: 5696729

Professional summary

Brian Scott Suraf, who also goes by Brian Scott Suraf, Brian S Suraf, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Malone, New York and CETERA WEALTH SERVICES, LLC located in Malone, New York.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brian has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Scott Suraf | Brian S Suraf

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.

1) HEG Advisory Services, LLC 31 Elm Street~Malone~NY~12953~Other~Employee~3/1/2020~80hrs~65hrs~Solely up to market financial services through Avantax. 2) The Hoffman Eells Group CPAs; Employee; Hoffman and Eells is a CPA firm. The firm provides accounting services to individuals, businesses, and non-profit organizations.; NIR; 65; 12/10/2019; 31 Elm Street Malone NY 12953; I will be working in a CPA office and my position will have responsibilities related to accounting and tax advisement and will vary based on the firm's needs throughout the year. My position's duties encompass all aspects of the firm's accounting services including tax management, accounting services, assurance, audits, reviews, compilation, litigation support and forensic accounting, bookkeeping, and computer and payroll services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Suraf'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 31 Elm Street, Malone, NY 12953Office #2: 134 Boynton Ave, Plattsburgh, NY 12903Office #3: 2000 Saranac Ave, Lake Placid, NY 12946

RIA

CRD#: 105644

MALONE, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 31 Elm Street, Malone, NY 12953Office #2: 134 Boynton Ave, Plattsburgh, NY 12901Office #3: 2000 Saranac Ave, Lake Placid, NY 12946

CRD#: 13572

Malone, NY

Past

January 10, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Malone, NY

Past

January 21, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Malone, NY

Past

January 25, 2018 - June 25, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

POTSDAM, NY

Past

August 10, 2015 - December 12, 2017

KEY INVESTMENT SERVICES LLC

CRD#: 136300

POTSDAM, NY

Past

September 17, 2012 - August 11, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

MALONE, NY

Past

September 17, 2012 - August 11, 2015

LPL FINANCIAL LLC

CRD#: 6413

MALONE, NY

Past

April 17, 2012 - May 9, 2012

EDWARD JONES

RIA

CRD#: 250

ST. LOUIS, MO

Past

March 29, 2012 - May 9, 2012

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Florida
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

Ohio
(9/5/2025)

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 65

Date: 1/8/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/14/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2012

General Securities Representative 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

Brian S. Suraf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Suraf's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2022

Series 66

Date: 4/14/2012

SIE

Date: 6/25/2018

Series 7

Date: 3/28/2012

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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