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Thomas J. Piazzi

SEI INVESTMENTS MANAGEMENT CORP
Libertyville, IL
Some features on this profile are disabled
CRD#: 5938018
TP

Professional summary

Thomas Jon Piazzi, CIMA®, who also goes by Tom Piazzi, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Libertyville, Illinois and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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).
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

October 24, 2024 - Present

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
Libertyville, IL
Current

October 24, 2024 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456
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".
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA
Registered Investment Advisory firm - (6/27/1985 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.
RR
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

RR
Illinois
(9/29/2025)
IAR
Illinois
(9/29/2025)
IAR
Pennsylvania
(10/25/2024)
RR
Pennsylvania
(1/9/2025)

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
SRO Registrations
RR
FINRA

Current Firm

SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA
Registered Investment Advisory firm - (6/27/1985 Approved)
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Contact information

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
Phone number
(610) 676-1000
Established
Firm type
Fiscal year end
# of Employees
447

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)
SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)
SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)
SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)
SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)
SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts99,603
AUM (Assets Under Management)$ 198,143,431,156

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
01/27/2025
Cover Page
Report
10/25/2023
Cover Page
Report
01/27/2023
Cover Page
Report

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.

Company Information

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146Libertyville, IL

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