Alexander N. Papageorgis

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CRD#: 5807920

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alexander Nicolas Papageorgis, who also goes by Alex Nicolas Papageorgis, Alex Papageorgis, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2012. Alexander had worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Nicolas Papageorgis | Alex Papageorgis

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.

Name - Tini Lux Address - 110 1st Street Apt 32N, Jersey City, NJ 07302 Nature of Business - Consumer Goods Position - Shareholder Duties - None Start Date of Relationship - March 2021 Investment Related - No Monthly Time Commitment - 0-1 hours Hours During Securities Trading - 0

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 6, 2021 - June 4, 2024

ETHIC

RIA

CRD#: 282827

NEW YORK, NY

Past

August 27, 2012 - April 23, 2019

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

ETHIC

ETHIC | SIMPLIFUND INC. | ETHIC INC.

CRD#: 282827 / SEC#: 801-107290

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 9/16/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/21/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/25/2012

General Securities Representative Examination

Current Firm

ETHIC

ETHIC | SIMPLIFUND INC. | ETHIC INC.

CRD#: 282827 / SEC#: 801-107290

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

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Contact information

Main Address

99 Hudson Street 17th Floor, New York, NY, 10013

Mailing Address

Phone number

(646) 687-6744

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	2,736
AUM (Assets Under Management)	$ 7,279,165,655

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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Alexander N. Papageorgis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ETHIC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

ETHIC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/2013

SIE

Date: 10/1/2018

Series 3

Date: 10/21/2013

Series 7

Date: 8/25/2012

Current Firm

ETHIC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHIC

TRUST BUT VERIFY

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