TH
Thomas A. Hawbaker
CETERA INVESTMENT ADVISERS LLC
MIDLOTHIAN, TX
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CRD#: 1132301
TH
Professional summary
Thomas Alan Hawbaker, who also goes by Thomas A Hawbaker, Thomas Hawbaker, Tom Hawbaker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midlothian, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Thomas has worked at 3 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas A Hawbaker | Thomas Hawbaker | Tom Hawbaker
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) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Insurance Agent NATURE: Selling insurance products approved through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/27/2022 ADDRESS: 5610 Park View Drive, Midlothian TX 76065, United States DESCRIPTION: Meet with clients, find insurance product needs and provide best options. 2) THOMAS HAWBAKER CPA PLLC POSITION: Managing Member NATURE: I am the sole member of a Professional LLC entity, Thomas Hawbaker CPA PLLC. The PLLC is a licensed CPA firm by the TX State Board of Public Accountancy. I am a licensed CPA in Texas, Florida and Georgia. This LLC was formed in April 2020 and I provide tax planning, preparation and representation services to the general public. I will be using this entity to market Avantax business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/24/2020 ADDRESS: 5610 Park View Drive, PO Box 177, Midlothian TX 76065; My role is to personally prepare tax returns provide tax advisory and planning services supervise one employee who repares tax returns. attract new clients; generate revenues and collect fees
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Hawbaker'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MIDLOTHIAN, TX
Past
December 20, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Midlothian, TX
Past
May 24, 1983 - February 22, 1986
JOHN SAGE & COMPANY
BD
CRD#: 13393
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.Highlighted states indicate IAR registrations
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
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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Check for any disclosures as part of your thorough research when choosing an advisor.
