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TP

Thomas J. Piazzi

FINIAT
Chicago, IL
Some features on this profile are disabled
CRD#: 5938018
TP
Thomas Jon PiazziFINIAT

Professional summary

Thomas Jon Piazzi, CIMA®, who also goes by Tom Piazzi, is a registered financial advisor currently at FINIAT, LLC located in Chicago, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Tom Piazzi

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.
ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 01/2020 - 160 HRS/MONTHLY, BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISOR - IN CONCORD, CA -AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jon Piazzi's 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®
CIMA®

Certified Investment Management Analyst

Experience

Current

July 23, 2026 - Present

FINIAT, LLC

RIA
CRD#: 329094
Chicago, IL
Past

October 24, 2024 - November 20, 2025

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
Libertyville, IL
Past

October 24, 2024 - November 20, 2025

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

July 14, 2023 - February 29, 2024

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
OMAHA, NE
Past

July 14, 2023 - February 29, 2024

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

February 26, 2020 - July 26, 2022

ASSETMARK, INC.

RIA
CRD#: 109018
Chicago, IL
Past

January 31, 2020 - July 26, 2022

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Chicago, IL
Past

April 9, 2015 - January 13, 2020

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
CARMEL, IN
Past

February 2, 2015 - January 13, 2020

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
CARMEL, IN
Past

December 20, 2013 - January 5, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

September 20, 2012 - October 31, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
VERNON HILLS, IL

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".
FL
FINIAT, LLC
FINIAT, LLC

CRD#: 329094 / SEC#: 801-129206

RIA
Registered Investment Advisory firm - (1/26/2024 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.

Highlighted states indicate IAR registrations

IAR
Florida
(7/23/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/9/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/19/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FL
FINIAT, LLC
FINIAT, LLC

CRD#: 329094 / SEC#: 801-129206

RIA
Registered Investment Advisory firm - (1/26/2024 Approved)
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Contact information

Main Address
808 North Donnelly St., Mount Dora, FL 32757
Mailing Address
Phone number
(352) 729-2739
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FINIAT LLC FORM ADV PART 2A DISCLOSURE BROCHURE (3/25/2025)

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINIAT, LLC

CRD#: 329094Chicago, IL

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