AS
Alexander J. Schwarz
CETERA INVESTMENT ADVISERS LLC
MELBOURNE, FL 32901
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CRD#: 7745668
AS
Professional summary
Alexander James Schwarz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Melbourne, Florida and CETERA WEALTH SERVICES, LLC located in Melbourne, Florida.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Alexander has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) EASTWOOD & ASSOCIATES WEALTH STRATEGIES POSITION: Financial Advisor NATURE: Eastwood & Associates Wealth Strategies is a branch office of Avantax Wealth management and associated entities. Eastwood & Associates offers Investment advice, recommends and facilitates the purchase of securities, and works with clients on a long term bases for a fee to continue to assist them in the forementioned areas. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 84 START DATE: 02/03/2025 ADDRESS: 3210 N Wickham Rd, Suite 4, Melbourne FL 32935, United States DESCRIPTION: My duties and responsibilities related to being a Financial Advisor at Eastwood & Associates Wealth Strategies will include: 2) UNITED STATES AIR FORCE POSITION: Air Force Reserve NATURE: I am an enlisted member of the United States Air Force Reserve holding the current rank of Technical Sergeant. In my role, Special Missions Aviator, I am required to fly in a combat rescue helicopter and perform flight engineer and aerial gunner duties. As a reserve member, I am serving in a "Part-time" capacity INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 16 START DATE: 08/30/2016 ADDRESS: 629 Rescue road, Patrick SFB FL 32925, United States DESCRIPTION: The duties and responsibilities related to being a Special Missions Aviator in the United States Air Force Reserve are as follows:
CRS (Client Relationship Summary) - RIA
Click below to view Alexander James Schwarz's 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®
NoneExperience
Current
August 18, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10 S. Harbor City Boulevard, Melbourne, FL 32901RIA
CRD#: 105644
MELBOURNE, FL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10 S. Harbor City Boulevard, Melbourne, FL 32901BD
CRD#: 13572
MELBOURNE, FL
Past
February 6, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Melbourne, FL
Past
February 3, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MELBOURNE, FL
Past
August 16, 2023 - May 17, 2024
TRINITY WEALTH SECURITIES, L.L.C.
BD
CRD#: 104348
Orlando, FL
Past
May 24, 2023 - May 17, 2024
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Orlando, FL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
IAR
Florida(8/18/2025)
RR
Florida(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/12/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/16/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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