Tom Piazza

Tom Piazza Email and Phone Number

Vice President- Supervision Manager at Bank of America Merrill Lynch @ Bank of America Merrill Lynch
charlotte, north carolina, united states
Tom Piazza's Location
Tampa, Florida, United States, United States
Tom Piazza's Contact Details

Tom Piazza personal email

n/a
About Tom Piazza

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.

Tom Piazza's Current Company Details
Bank of America Merrill Lynch

Bank Of America Merrill Lynch

View
Vice President- Supervision Manager at Bank of America Merrill Lynch
charlotte, north carolina, united states
Website:
bofaml.com
Employees:
23988
Tom Piazza Work Experience Details
  • Bank Of America Merrill Lynch
    Assistant Vice President- Supervision Manager
    Bank Of America Merrill Lynch Sep 2019 - Present
    Tampa/St. Petersburg, Florida Area
    Coach 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.
  • Wells Fargo Advisors
    Control Specialist
    Wells Fargo Advisors Apr 2018 - Sep 2019
    Tampa/St. Petersburg, Florida Area
    Review 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
  • Wells Fargo Advisors
    Tampa Complex Operations Liaison
    Wells Fargo Advisors May 2016 - Apr 2018
    Tampa, Fl
    Review 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.
  • Ubs Wealth Management
    Branch Administrative Manager
    Ubs Wealth Management Sep 2015 - Mar 2016
    Manage 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.
  • Wells Fargo Advisors
    Wfa Regional Supervisor
    Wells Fargo Advisors Aug 2014 - Aug 2015
    Charlotte, North Carolina Area
    Supported 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
  • Wells Fargo Advisors
    Regional Support Specialist/ Registered Client Associate
    Wells Fargo Advisors Oct 2010 - Aug 2014
    Charlotte, North Carolina Area
    Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services LLC, member SIPC
  • Merrill Lynch
    Investment Specialist
    Merrill Lynch Mar 2008 - Oct 2010
    Charlotte, North Carolina Area
  • E*Trade Financial Corporation
    Financial Services Representative
    E*Trade Financial Corporation Jun 2007 - Mar 2008
    Charlotte, North Carolina Area

Tom Piazza Skills

General Securities Principal Managed Money Stocks Trade Compliance Trading Finance Supervision Mutual Funds

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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