John J. Piazza
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Joseph Piazza Jr, who also goes by John J Piazza Jr, John Joseph Piazza, John Piazza Jr., John J Piazza, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 13 firms and has passed the Series 65, Series 63, Series 66, Series 6TO, SIE, Series 7, Series 15 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2023 - July 26, 2023
TACTIVEST, LLC
August 3, 2020 - August 12, 2021
PFS INVESTMENTS INC.
May 18, 2015 - December 31, 2015
BENJAMIN & JEROLD ADVISERS, LLC
October 9, 2014 - December 31, 2014
BENJAMIN & JEROLD ADVISERS, LLC
October 21, 2013 - November 10, 2017
BENJAMIN & JEROLD BROKERAGE I, LLC
November 26, 2007 - July 15, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 30, 2004 - October 3, 2007
SEI INVESTMENTS DISTRIBUTION CO.
April 9, 2001 - November 10, 2003
RAYMOND JAMES & ASSOCIATES, INC.
June 7, 1989 - February 12, 1991
UBS FINANCIAL SERVICES INC.
March 22, 1989 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
February 1, 1988 - June 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 25, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 13, 1984 - August 29, 1986
MORGAN STANLEY DW INC.
October 26, 1984 - November 7, 1984
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
TACTIVEST, LLC
CRD#: 173309 / SEC#: 801-126580
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 3/29/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 15
Date: 5/5/1987
Foreign Currency Options ExaminationCurrent Firm
TACTIVEST, LLC
CRD#: 173309 / SEC#: 801-126580
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 576 |
| AUM (Assets Under Management) | $ 128,515,751 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/27/2025 | ||
| 02/26/2024 |
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.
