TC
Timothy J. Cazalas
CETERA INVESTMENT ADVISERS
CORPUS CHRISTI, TX 78414
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CRD#: 4294794
TC
Timothy Jay CazalasCETERA INVESTMENT ADVISERS
Professional summary
Timothy Jay Cazalas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Corpus Christi, Texas and CETERA WEALTH SERVICES, LLC located in Corpus Christi, Texas.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
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) Cazalas & Hunter, P.C.~'NIR'~555 N. Carancahua, Suite 920~Corpus Christi~TX~78401~Other~President~2/1/2015~160hrs~160hrs~Tax & accounting services; Firm administration 2) Stone Minerals, LLC~'NIR'~6401 Calais St.~Corpus Christi~TX~78414~Oil/Gas Exploration~Owner~12/31/2018~2hrs~2hrs~I will be a member of this entity with my wife. The entity just collects royalty checks 3) TLC Resources LLC~'NIR'~6401 Calais St~Corpus Christi~TX~78414~Oil/Gas Exploration~Owner~7/25/2019~2hrs~2hrs~I will basically be doing the accounting activities for the LLC 4) CHECK WRITING FOR ACCOUNTING CLIENT POSITION: CPA NATURE: Our accounting firm has a long time client for which the bills of a couple entities (two partnerships and a trust) are received at our office and we write the checks to pay the bills. The bills for each entity are very minimal (less than ten checks per year) and constitute mainly professional fees and IRS tax payments. The trust is maintained at a bank who is co-trustee. When we can, we have the bank issue checks directly. We also receive a couple small oil & gas royalty checks during the year which we deposit on behalf of the client. This client is not an investment client. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2016 ADDRESS: 555 N. Carancahua, Suite 920, Corpus Christi TX 78401, United States DESCRIPTION: Myself and my partner are responsible for writing the checks and making payments on behalf of the client. The checks amount to less than ten a year and are comprised of mainly IRS tax payments and professional fees and insurance. We also prepare the deposit slips for a couple small deposits during the year. The two partnerships are to be shut down this year. The monies in the partnerships as well as the trust are all handled and monitored by Frost Bank. This client is not an investment client of ours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Jay Cazalas'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
Office #1: 6401 Calais St, Corpus Christi, TX 78414RIA
CRD#: 105644
CORPUS CHRISTI, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 555 N. Carancahua Suite 920, Corpus Christi, TX 78401BD
CRD#: 13572
Corpus Christi, TX
Past
June 29, 2005 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CORPUS CHRISTI, TX
Past
March 17, 2005 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Corpus Christi, TX
Past
July 21, 2003 - April 1, 2005
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
January 14, 2002 - August 8, 2003
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CORPUS CHRISTI, TX
Past
October 22, 2001 - August 8, 2003
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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
RR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maine(9/5/2025)
RR
Nevada(9/5/2025)
RR
New York(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Washington(10/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General 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)Loading...
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 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
