Thomas Jon Piazzi
CIMA®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
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Piazzi
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Credentials
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FINIAT, LLC
Contact Information
Main Address
808 North Donnelly St., Mount Dora, FL 32757Phone Number
(352) 729-2739# of Employees
7SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$25,556,450Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FINIAT, LLC
State Registrations and Notice Filings
(7/23/2026)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2012About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Jon Piazzi's CRS (Customer Relationship Summary).
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