Tom Piazza Email and Phone Number
Tom Piazza work email
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Tom Piazza personal email
I have been in supervisory roles of financial advisors since acquiring my Series 9/10 12 years ago. In that time I have supported many different types of FAs from some of the largest teams supporting high net worth clients to new advisors who are just getting their licenses and starting in the industry.Within supervision I have handled a few different types or roles including supervising advisors and their support directly as well as operational supervisory roles handling the day to day operations of my offices.
Bank Of America Merrill Lynch
View- Website:
- bofaml.com
- Employees:
- 23988
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Assistant Vice President- Supervision ManagerBank Of America Merrill Lynch Sep 2019 - PresentTampa/St. Petersburg, Florida AreaCoach and drive good behaviors from Financial Advisors to operate within the firm risk controls and promote operational excellence. Review and approve sales seminars, outside speaking engagements and tabling/booth events conducted by advisors. Monitor and manage registration, licensing, and Continuing Education for all advisors.
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Control SpecialistWells Fargo Advisors Apr 2018 - Sep 2019Tampa/St. Petersburg, Florida AreaReview all compliance systems and reporting as required for the assigned branches within the market. Work to ensure that branch compliance procedures fulfill all compliance requirements. Preform ongoing regulatory, compliance, and operational reviews as well as other duties as assigned -
Tampa Complex Operations LiaisonWells Fargo Advisors May 2016 - Apr 2018Tampa, FlReview completion of service requests submitted by complex employees. Review completeness and accuracy of branch deposits, security deposits, and trade corrections. Handle and resolve inquiries from branch and complex team members as needed. Enforce all firm policies and procedures when reviewing requests to satisfy compliance for all audits as well as ensure all advisors and support staff are following them.
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Branch Administrative ManagerUbs Wealth Management Sep 2015 - Mar 2016Manage branch administration including branch facilities and provide administrative support as needed. Support financial advisors who are transitioning to join our firm from the beginning to the end of the process. Implement service excellence standards, including coaching and educating administrative support staff on the client experience best practices. -
Wfa Regional SupervisorWells Fargo Advisors Aug 2014 - Aug 2015Charlotte, North Carolina AreaSupported an assigned region of the country ( West Coast) in the suitability review and principal approval of all new and existing managed money accounts. Review all account update forms for principal approval including Transfer on Death, Power of Attorney, trading authorization, and Margin agreements
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Regional Support Specialist/ Registered Client AssociateWells Fargo Advisors Oct 2010 - Aug 2014Charlotte, North Carolina AreaWells Fargo Advisors is a trade name used by Wells Fargo Clearing Services LLC, member SIPC
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Investment SpecialistMerrill Lynch Mar 2008 - Oct 2010Charlotte, North Carolina Area -
Financial Services RepresentativeE*Trade Financial Corporation Jun 2007 - Mar 2008Charlotte, North Carolina Area
Tom Piazza Skills
Tom Piazza Education Details
Frequently Asked Questions about Tom Piazza
What company does Tom Piazza work for?
Tom Piazza works for Bank Of America Merrill Lynch
What is Tom Piazza's role at the current company?
Tom Piazza's current role is Vice President- Supervision Manager at Bank of America Merrill Lynch.
What is Tom Piazza's email address?
Tom Piazza's email address is to****@****ors.com
What schools did Tom Piazza attend?
Tom Piazza attended University Of South Carolina-Columbia.
What skills is Tom Piazza known for?
Tom Piazza has skills like General Securities Principal, Managed Money, Stocks, Trade Compliance, Trading, Finance, Supervision, Mutual Funds.
Who are Tom Piazza's colleagues?
Tom Piazza's colleagues are Ka Ngai, Pamela Bridges, Sarah Phong, Mark Meyers, Ayyappa Reddy, George Joseph, Simon Billmont.
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Tom Piazza
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