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Thomas Howard Waring

Note Advisors, LLC

Buffalo, NY

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Current Employers
Note Advisors, Llc

50 Lakefront Blvd, Suite 215, Buffalo, NY 14202 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-01
  • NY RA
    APPROVED
    Since 2021-03-01

Branch Locations

50 Lakefront Blvd, Suite 215, Buffalo, NY 14202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Note Advisors, Llc Buffalo NY 08/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-23
S63 Uniform Securities Agent State Law Examination 1998-03-27
  • S65 Uniform Investment Adviser Law Examination
    1999-08-23
  • S63 Uniform Securities Agent State Law Examination
    1998-03-27
Designations

View on SEC IAPD

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