Thomas Waring (CRD# 1060143) is an Investment Advisor Representative working at Note Advisors, LLC in Buffalo, NY and has over 26 years of experience in the finance industry.
CRD# 1234546
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 1604730
Lytle Investments
CRD# 6254146
Equitable Advisors, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Note Advisors, LLC | Buffalo, NY | Aug 2014 - Current | 9 |
| Mml Investors Services, Inc. | Hamburg, NY | Jan 1983 - Aug 2014 | 31 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1998 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1999 |
- NY
-
Total Assets Under Management292MILLIONS
-
Total Number of Accounts992ACCOUNTS
-
Average Account Value$294,820
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
FL, NY, TX
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