John A. Pieroni

WNY ASSET MANAGEMENT

Williamsville, NY 14221

Some features on this profile are disabled

CRD#: 3027420

Professional summary

John Anthony Pieroni, CFP®, who also goes by John Pieroni, is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Williamsville, New York and LPL FINANCIAL LLC located in Williamsville, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Pieroni

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) - RIA

Click below to view John Anthony Pieroni's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

October 11, 2019 - Present

WNY ASSET MANAGEMENT, LLC

Office #1: 6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

RIA

CRD#: 153872

Williamsville, NY

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 6500 Sheridan Drive, Suite 200 Sheridan Meadows Corp Pkwy-n, Williamsville, NY 14221

RIA

CRD#: 6413

WILLIAMSVILLE, NY

Past

January 3, 2001 - July 10, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

WILLIAMSVILLE, NY

Past

July 30, 1999 - January 17, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 3, 1998 - August 26, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 3, 1998 - August 27, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

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".

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 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.

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

Alabama
(7/10/2025)

Connecticut
(7/10/2025)

Florida
(7/11/2025)

Maryland
(7/10/2025)

Nevada
(7/10/2025)

IAR

New York
(7/30/2021)

New York
(7/10/2025)

Rhode Island
(7/10/2025)

South Carolina
(7/10/2025)

IAR

Texas
(10/11/2019)

Texas
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/2/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

Mailing Address

Phone number

(716) 626-0060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts	3,256
AUM (Assets Under Management)	$ 1,729,468,767

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.

Similar Advisors

Michael Gimlin

LPL FINANCIAL LLC

IAR

Williamsville, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John A. Pieroni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Anthony Pieroni's CRS (Customer Relationship Summary).

Certified licenses

Experience

WNY ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

SECURITIES AMERICA, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

WNY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/1999

Series 63

Date: 4/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1999

Series 6

Date: 4/2/1998

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WNY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors