Thomas Alan Hawbaker

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2016 → 08/2017
  Hd Vest Investment Services
  Midlothian, TX
• 04/2020 → Present
  Thomas Hawbaker, Cpa Pllc
  Midlothian, TX
• 02/2015 → 12/2017
  Duncanville N Llc
  Dallas, TX
• 01/2018 → 08/2018
  Rml Waxahachie Ford Llc
  Waxahachie, TX
• 09/2018 → 12/2018
  Clay Cooley Investments
  Irving, TX
• 01/2019 → 02/2020
  Cooley Holdings Ltd.
  Irving, TX
• 03/2020 → 03/2020
  Unemployed
  Midlothian, TX
• 11/2022 → 09/2025
  Avantax Advisory Services
  Midlothian, TX
• 11/2022 → 09/2025
  Avantax Insurance Agency, Llc
  Midlothian, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2022-12-20 → 2025-09-05
  Avantax Advisory Services
  Midlothian, TX

Other Businesses

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

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-05-13

Designations

• Personal Financial Specialist

Other Names

• Tom Hawbaker
• Thomas A Hawbaker
• Thomas Hawbaker