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THOMAS JON PIAZZI
TOM PIAZZI
CRD#: 5938018
IA
B
SEI INVESTMENTS MANAGEMENT CORPCRD#: 105146 Libertyville, IL
SEI INVESTMENTS DISTRIBUTION CO.CRD#: 10690 Libertyville, IL
0
Disclosures
10
Years of Experience
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State Registrations
IA
Illinois 10/24/2024
IA
Pennsylvania 10/25/2024
B
Illinois 1/9/2025
B
Pennsylvania 1/9/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/24/2024
IA
Registered with this firm since 10/24/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/14/2023 - 02/29/2024 | OMAHA, NE | |
B | 07/14/2023 - 02/29/2024 | BERWYN, PA | |
IA | 02/26/2020 - 07/26/2022 | Chicago, IL | |
B | 01/31/2020 - 07/26/2022 | Chicago, IL | |
IA | 04/09/2015 - 01/13/2020 | CARMEL, IN | |
B | 02/02/2015 - 01/13/2020 | CARMEL, IN | |
B | 12/20/2013 - 01/05/2015 | CHICAGO, IL | |
B | 09/20/2012 - 10/31/2013 | VERNON HILLS, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.