Tammy K. Pioch
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CRD#: 3071308
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.
Tammy K Pioch, who also goes by Tammy Katherine Pioch, was a registered financial professional .
Tammy is a previously registered financial professional and started their career in finance in 2005. Tammy had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Tammy began working with high-net-worth clients and their families in the wealth management industry almost 20 years ago. Her experience is primarily in client relationship and business development but she also has substantial credit and financial analysis experience in private banking.
Tammy has Bachelor’s in economics from University of California-Santa Cruz.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tammy Katherine Pioch
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 3, 2023 - March 19, 2026
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
San Ramon, CA
Past
July 6, 2020 - October 16, 2023
MARINER WEALTH
RIA
CRD#: 140195
Corte Madera, CA
Past
April 4, 2019 - March 6, 2020
ELLEVEST
RIA
CRD#: 175476
NEW YORK, NY
Past
November 9, 2017 - April 2, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN FRANCISCO, CA
Past
November 9, 2017 - April 2, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN FRANCISCO, CA
Past
August 8, 2017 - November 15, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN FRANCISCO, CA
Past
August 8, 2017 - November 15, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
March 27, 2014 - June 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
March 18, 2014 - June 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
September 9, 2010 - August 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
September 9, 2010 - August 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 29, 2007 - December 10, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN FRANCISCO, CA
Past
May 29, 2007 - December 10, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN FRANCISCO, CA
Past
November 2, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
SAN FRANCISCO, CA
Past
July 21, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
SAN FRANCISCO, CA
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".
HIGHTOWER ADVISORS, LLC
2/13 STRATEGIC PARTNERS | XCEPTION ADVISORY GROUP | WOLF-COLLINS WEALTH MANAGEMENT | WISEHAUPT, BRAY ASSET MANAGEMENT | WHITE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTHTRUST ADVISORS | VWG WEALTH MANAGEMENT | VIGILANT WEALTH MANAGEMENT | UNITED FIDUCIARY PARTNERS, LLC | UNITED FIDUCIARY ADVISORS, LLC | TWICKENHAM ADVISORS | TRUE WEALTH ADVISORY GROUP | TRESNAN FERST WEALTH ADVISORS | TREASURY PARTNERS | THREE BRIDGE WEALTH ADVISORS | THE THRUSH GROUP | THE RIKOON GROUP | THE RAND GROUP | THE OTTO GROUP | THE NULMAN GROUP | THE MORGIA GROUP | THE MCGUIRK & DE NEVI GROUP | THE LEVIN GROUP | THE LEVENTHAL GROUP | THE LERNER GROUP | THE KELLY & WOHLNER GROUP | THE HAUSBERG GROUP | THE G3 ADVISORY GROUP | THE DILLIG GROUP | THE DEGGELMAN/PARKER GROUP | THE BLANKE SCHEIN GROUP | THE BAHNSEN GROUP | THE ANDRIOLE GROUP | TEN CAPITAL WEALTH ADVISORS | TEAK TREE CAPITAL MANAGEMENT | SYNERGY CAPITAL SOLUTIONS | STRATA WEALTH PARTNERS | STRATA WEALTH MANAGEMENT | STEARNS FINANCIAL GROUP | SOMERSET ADVISORY | SMITH ANGLIN FINANCIAL | SIMMONS-WILKES INVESTMENT ADVISORS | SIMMONS INVESTMENT ADVISORS | SILLER & COHEN | SHAFFER WEALTH MANAGEMENT | SCHULTZ COLLINS | SCANNELL WEALTH MANAGEMENT GROUP | ROSENAU/PAUL GROUP | ROSE ADVISORS | RJ WEALTH MANAGEMENT | RESOURCE CONSULTING GROUP | RESOLUTE INDEPENDENT ADVISORS | RDM FINANCIAL GROUP | PRIVATE VISTA | PRESIDIO WEALTH PARTNERS | PDS WEALTH MANAGEMENT | PAGNATO-KARP GROUP | OSBORN, WILLIAMS, & DONOHOE | ONEARC CAPITAL ADVISORS | NUCLEUS ADVISORS | NATOMA WEALTH | MURRAY WEALTH MANAGEMENT | MORSE, TOWEY, WHITE & HOFFMAN | MORSE TOWEY & WHITE | MORGIA WEALTH MANAGEMENT | MOLNAR/NORDLICHT GROUP | MK WEALTH MANAGEMENT | MEYER CAPITAL GROUP | MATTHIAS KUHLMEY AT HIGHTOWER | MASTERSON, EMMA, & ASSOCIATES | LYON WEALTH MANAGEMENT, INC. | LYON WEALTH MANAGEMENT AT HIGHTOWER | LUMA WEALTH ADVISORS | LRG WEALTH ADVISORS | LOURDMURRAY | LOUIS WEALTH MANAGEMENT | LK WEALTH & ASSET MANAGEMENT | LINDBROOK CAPITAL | LEXINGTON WEALTH MANAGEMENT, INC. | LEXINGTON WEALTH MANAGEMENT | LEONETTI AND ASSOCIATES | LEGACY WEALTH ADVISORS | LCK WEALTH MANAGEMENT | LANDSBERG BENNETT PRIVATE WEALTH MANAGEMENT | KLEIN WEALTH MANAGEMENT | KELLY WEALTH MANAGEMENT | IRONGATE PARTNERS | INVESTMENT SECURITY GROUP | HWM ADVISORS | HUMMER MOWER ASSOCIATES | HT|TC WEALTH PARTNERS | HSW ADVISORS | HILL WEALTH MANAGEMENT | HIGHTOWER/THOMAS MCGUIRK | HIGHTOWER/THE BAPIS GROUP | HIGHTOWER/LYMAN GROUP | HIGHTOWER WESTCHESTER | HIGHTOWER WEALTH ADVISORS|ST. LOUIS | HIGHTOWER TEXAS | HIGHTOWER SPORTS AND ENTERTAINMENT | HIGHTOWER SIGNATURE WEALTH | HIGHTOWER SCOTTSDALE | HIGHTOWER OMAHA | HIGHTOWER NAPLES | HIGHTOWER LAS VEGAS | HIGHTOWER LAKEWATER | HIGHTOWER GREAT LAKES | HIGHTOWER GAYLE JOHNSON | HIGHTOWER FORT MYERS | HIGHTOWER BUFFALO | HIGHTOWER BETHESDA | HIGHTOWER BELLEVUE | HIGHTOWER AUSTIN | HIGHTOWER ADVISORS, LLC | HIGHTOWER | HIGHLAND PRIVATE WEALTH MANAGEMENT | HIERAX WEALTH PARTNERS | GREEN SQUARE WEALTH MANANGEMENT | FORTRESS WEALTH PLANNING | FISCHER STRALEM ADVISORS | FINANCIAL PRINCIPLES | FINANCIAL PLANNING AND INFORMATION SERVICES | FIDUCIARY PLAN ADVISORS | FEINBERG STEIN FINANCIAL SERVICES | FARR, MILLER AND WASHINGTON | FALCON WEALTH ADVISORS | FAIRPORT WEALTH | ENVISION FINANCIAL GROUP | EGAN WEALTH ADVISORS | DSG ADVISORS | DEGGELMAN/PARKER GROUP | DECHTMAN WEALTH MANAGEMENT | D3 WEALTH PARTNERS | CREST CAPITAL ADVISORS | COGNETIC CAPITAL ADVISORS | CLEAR PERSPECTIVE ADVISORS | CLARITY POINT FINANCIAL PARTNERS | CHARLES D. HYMAN & COMPANY | CAPITAL MANAGEMENT GROUP | OF NEW YORK | BOSTON HILL ADVISORS | BLUEROCK WEALTH MANAGEMENT | BLANKE SCHEIN WEALTH MANAGEMENT | BICKLING FINANCIAL SERVICES | BEL AIR INVESTMENT ADVISORS | ARGENT WEALTH MANAGEMENT | ANDERSON FINANCIAL GROUP @ HIGHTOWER | AMIDEI ROMANO GROUP | ALTIUM WEALTH MANAGEMENT | ALINE WEALTH MANAGEMENT | ALEXANDRIA CAPITAL | ACACIA WEALTH ADVISORS | 6 MERIDIAN
CRD#: 145323 / SEC#: 801-69625
RIA
Registered Investment Advisory firm - (10/3/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HIGHTOWER ADVISORS, LLC
2/13 STRATEGIC PARTNERS | XCEPTION ADVISORY GROUP | WOLF-COLLINS WEALTH MANAGEMENT | WISEHAUPT, BRAY ASSET MANAGEMENT | WHITE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTHTRUST ADVISORS | VWG WEALTH MANAGEMENT | VIGILANT WEALTH MANAGEMENT | UNITED FIDUCIARY PARTNERS, LLC | UNITED FIDUCIARY ADVISORS, LLC | TWICKENHAM ADVISORS | TRUE WEALTH ADVISORY GROUP | TRESNAN FERST WEALTH ADVISORS | TREASURY PARTNERS | THREE BRIDGE WEALTH ADVISORS | THE THRUSH GROUP | THE RIKOON GROUP | THE RAND GROUP | THE OTTO GROUP | THE NULMAN GROUP | THE MORGIA GROUP | THE MCGUIRK & DE NEVI GROUP | THE LEVIN GROUP | THE LEVENTHAL GROUP | THE LERNER GROUP | THE KELLY & WOHLNER GROUP | THE HAUSBERG GROUP | THE G3 ADVISORY GROUP | THE DILLIG GROUP | THE DEGGELMAN/PARKER GROUP | THE BLANKE SCHEIN GROUP | THE BAHNSEN GROUP | THE ANDRIOLE GROUP | TEN CAPITAL WEALTH ADVISORS | TEAK TREE CAPITAL MANAGEMENT | SYNERGY CAPITAL SOLUTIONS | STRATA WEALTH PARTNERS | STRATA WEALTH MANAGEMENT | STEARNS FINANCIAL GROUP | SOMERSET ADVISORY | SMITH ANGLIN FINANCIAL | SIMMONS-WILKES INVESTMENT ADVISORS | SIMMONS INVESTMENT ADVISORS | SILLER & COHEN | SHAFFER WEALTH MANAGEMENT | SCHULTZ COLLINS | SCANNELL WEALTH MANAGEMENT GROUP | ROSENAU/PAUL GROUP | ROSE ADVISORS | RJ WEALTH MANAGEMENT | RESOURCE CONSULTING GROUP | RESOLUTE INDEPENDENT ADVISORS | RDM FINANCIAL GROUP | PRIVATE VISTA | PRESIDIO WEALTH PARTNERS | PDS WEALTH MANAGEMENT | PAGNATO-KARP GROUP | OSBORN, WILLIAMS, & DONOHOE | ONEARC CAPITAL ADVISORS | NUCLEUS ADVISORS | NATOMA WEALTH | MURRAY WEALTH MANAGEMENT | MORSE, TOWEY, WHITE & HOFFMAN | MORSE TOWEY & WHITE | MORGIA WEALTH MANAGEMENT | MOLNAR/NORDLICHT GROUP | MK WEALTH MANAGEMENT | MEYER CAPITAL GROUP | MATTHIAS KUHLMEY AT HIGHTOWER | MASTERSON, EMMA, & ASSOCIATES | LYON WEALTH MANAGEMENT, INC. | LYON WEALTH MANAGEMENT AT HIGHTOWER | LUMA WEALTH ADVISORS | LRG WEALTH ADVISORS | LOURDMURRAY | LOUIS WEALTH MANAGEMENT | LK WEALTH & ASSET MANAGEMENT | LINDBROOK CAPITAL | LEXINGTON WEALTH MANAGEMENT, INC. | LEXINGTON WEALTH MANAGEMENT | LEONETTI AND ASSOCIATES | LEGACY WEALTH ADVISORS | LCK WEALTH MANAGEMENT | LANDSBERG BENNETT PRIVATE WEALTH MANAGEMENT | KLEIN WEALTH MANAGEMENT | KELLY WEALTH MANAGEMENT | IRONGATE PARTNERS | INVESTMENT SECURITY GROUP | HWM ADVISORS | HUMMER MOWER ASSOCIATES | HT|TC WEALTH PARTNERS | HSW ADVISORS | HILL WEALTH MANAGEMENT | HIGHTOWER/THOMAS MCGUIRK | HIGHTOWER/THE BAPIS GROUP | HIGHTOWER/LYMAN GROUP | HIGHTOWER WESTCHESTER | HIGHTOWER WEALTH ADVISORS|ST. LOUIS | HIGHTOWER TEXAS | HIGHTOWER SPORTS AND ENTERTAINMENT | HIGHTOWER SIGNATURE WEALTH | HIGHTOWER SCOTTSDALE | HIGHTOWER OMAHA | HIGHTOWER NAPLES | HIGHTOWER LAS VEGAS | HIGHTOWER LAKEWATER | HIGHTOWER GREAT LAKES | HIGHTOWER GAYLE JOHNSON | HIGHTOWER FORT MYERS | HIGHTOWER BUFFALO | HIGHTOWER BETHESDA | HIGHTOWER BELLEVUE | HIGHTOWER AUSTIN | HIGHTOWER ADVISORS, LLC | HIGHTOWER | HIGHLAND PRIVATE WEALTH MANAGEMENT | HIERAX WEALTH PARTNERS | GREEN SQUARE WEALTH MANANGEMENT | FORTRESS WEALTH PLANNING | FISCHER STRALEM ADVISORS | FINANCIAL PRINCIPLES | FINANCIAL PLANNING AND INFORMATION SERVICES | FIDUCIARY PLAN ADVISORS | FEINBERG STEIN FINANCIAL SERVICES | FARR, MILLER AND WASHINGTON | FALCON WEALTH ADVISORS | FAIRPORT WEALTH | ENVISION FINANCIAL GROUP | EGAN WEALTH ADVISORS | DSG ADVISORS | DEGGELMAN/PARKER GROUP | DECHTMAN WEALTH MANAGEMENT | D3 WEALTH PARTNERS | CREST CAPITAL ADVISORS | COGNETIC CAPITAL ADVISORS | CLEAR PERSPECTIVE ADVISORS | CLARITY POINT FINANCIAL PARTNERS | CHARLES D. HYMAN & COMPANY | CAPITAL MANAGEMENT GROUP | OF NEW YORK | BOSTON HILL ADVISORS | BLUEROCK WEALTH MANAGEMENT | BLANKE SCHEIN WEALTH MANAGEMENT | BICKLING FINANCIAL SERVICES | BEL AIR INVESTMENT ADVISORS | ARGENT WEALTH MANAGEMENT | ANDERSON FINANCIAL GROUP @ HIGHTOWER | AMIDEI ROMANO GROUP | ALTIUM WEALTH MANAGEMENT | ALINE WEALTH MANAGEMENT | ALEXANDRIA CAPITAL | ACACIA WEALTH ADVISORS | 6 MERIDIAN
CRD#: 145323 / SEC#: 801-69625
RIA
Registered Investment Advisory firm - (10/3/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 W. Madison St. Suite 2500, Chicago, IL 60606
Mailing Address
Phone number
(312) 962-3800
Established
Firm type
Fiscal year end
# of Employees
1,837
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 194,461 |
| AUM (Assets Under Management) | $ 164,789,471,551 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2026 | ||
| 12/23/2025 | ||
| 11/26/2025 | ||
| 11/25/2025 | ||
| 11/24/2025 | ||
| 11/05/2025 | ||
| 10/28/2025 | ||
| 10/28/2025 | ||
| 09/29/2025 | ||
| 09/17/2025 | ||
| 09/15/2025 | ||
| 08/28/2025 | ||
| 01/28/2025 | ||
| 01/28/2025 | ||
| 01/28/2025 | ||
| 12/12/2024 | ||
| 12/06/2024 | ||
| 11/11/2024 | ||
| 10/25/2024 | ||
| 09/27/2024 | ||
| 09/26/2024 | ||
| 12/21/2023 | ||
| 12/19/2023 | ||
| 12/19/2023 | ||
| 12/19/2023 | ||
| 12/11/2023 | ||
| 11/20/2023 | ||
| 11/15/2023 | ||
| 11/08/2023 | ||
| 11/07/2023 | ||
| 10/30/2023 | ||
| 10/25/2023 |
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.
