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NT

Nicholas J. Tzavalas

ALLIANZ LIFE FINANCIAL SERVICES
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 6203045
NT

Professional summary

Nicholas Joseph Tzavalas, who also goes by Nicholas J Tzavalas, Nicholas Joseph Tzavalas, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas J Tzavalas | Nicholas Joseph Tzavalas

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Joseph Tzavalas'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®
None

Experience

Current

February 24, 2022 - Present

ALLIANZ LIFE FINANCIAL SERVICES, LLC

Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416
BD
CRD#: 612
Minneapolis, MN
Past

May 3, 2017 - February 11, 2022

BTS ASSET MANAGEMENT, INC.

RIA
CRD#: 105215
LEXINGTON, MA
Past

January 20, 2015 - February 11, 2022

BTS SECURITIES CORPORATION

BD
CRD#: 8328
LINCOLN, MA

State Registrations and Notice Filings

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

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
Connecticut
(1/18/2024)
RR
Maine
(1/18/2024)
RR
Massachusetts
(2/24/2022)
RR
New Hampshire
(1/18/2024)
RR
New York
(1/18/2024)
RR
Pennsylvania
(1/18/2024)
RR
Rhode Island
(1/18/2024)
RR
Vermont
(1/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/28/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AL
ALLIANZ LIFE FINANCIAL SERVICES, LLC
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.

CRD#: 612 / SEC#: , 8-13630

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297
Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117
Phone number
(763) 765-6500
Established
Minnesota since 11/20/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICAOWNER
DIAN, MATTHEW CHRISTOPHERCHIEF COMPLIANCE OFFICER2246088
GAUMOND, WILLIAM EDWARDDIRECTOR5294073
HELMEN, JOHN CURTISASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS4988276
LORD-KRAHN, KRISTINE MARIECHIEF LEGAL OFFICER4241291
THOMES, ERIC JONCHIEF EXECUTIVE OFFICER4645308
WALTHER, COREY JAYPRESIDENT2398952
WYSOCKI, REBECCAPRINCIPAL FINANCIAL OFFICER6558204
WYSOCKI, REBECCACHIEF FINANCIAL OFFICER6558204
WYSOCKI, REBECCAPRINCIPAL OPERATIONS OFFICER6558204

Disclosures

Regulatory Event1

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.

Company Information

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612Minneapolis, MN 55416

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