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Alexander John Sarafianos

Cetera Investment Advisers LLC

Birmingham, AL

Saint Petersburg, FL

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2014-01-21
  • AL RA
    APPROVED
    Since 2014-01-21

Branch Locations

250 Riverchase Parkway E, Birmingham, AL 35244 • United States

510 Central Ave, Saint Petersburg, FL 33701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Regions Bank Tampa FL 10/2013 Present
Cetera Investment Services Llc St.CLoud MN 10/2013 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2014 Present
  • 10/2013 → Present
    Regions Bank
    Tampa, FL
  • 10/2013 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2006-04-20 → 2012-11-05
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
  • 2005-11-14 → 2006-04-20
    Amundi Asset Management Us, Inc.
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-15
S63 Uniform Securities Agent State Law Examination 1987-06-05
  • S66 Uniform Combined State Law Examination
    2005-12-15
  • S63 Uniform Securities Agent State Law Examination
    1987-06-05
Other Names
  • Alex Sarafianos

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
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CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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