Nicholas Noto has been an investment adviser representative at Millstone Financial Group Limited Liability since December 2025, and is not listed among the firm’s executive officers or direct owners.
Millstone Financial Group Limited Liability Company is a Princeton, NJ firm with $104M under management, 297 clients and 6 advisers across 3 offices, as of its June 2026 filing.
Nicholas Noto’s longest registration was 2 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2023–2025). Before joining Millstone Financial Group Limited Liability in 2025, Nicholas Noto was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Millstone Financial GroupCurrent– present · under a yearPrinceton, NJ · Adviser representative · Firm CRD 297882
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsPennington, NJ · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Nicholas Noto is registered as an investment adviser representative in New Jersey, since December 2025.
- New JerseySince 5 December 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 27 September 2023 |
| Series 7TO | General Securities Representative Examination | 25 August 2023 |
| SIE | Securities Industry Essentials Examination | 25 July 2023 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Nicholas Steven Noto
- CRD
- 7774608
- Firm
- Millstone Financial Group Limited Liability · CRD 297882
- Office
- 902 CARNEGIE CENTER BLVD, SUITE 130, Princeton, NJ 08540
- Registration
- Investment adviser registration
- In the industry since
- August 2023
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Noto work?
Nicholas Noto is an investment adviser representative registered through Millstone Financial Group Limited Liability Company since December 2025, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Noto a financial advisor?
Yes. Nicholas Noto has a current investment-adviser registration in New Jersey, through Millstone Financial Group Limited Liability since December 2025.
How many years of experience does Nicholas Noto have?
Nicholas Noto has 3 years in the financial industry, since August 2023, across 2 adviser firms.
What exams has Nicholas Noto passed?
Nicholas Noto has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in July 2023.
Where did Nicholas Noto work before Millstone Financial Group Limited Liability?
Before Millstone Financial Group Limited Liability, Nicholas Noto was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2023 to December 2025.
Where is Nicholas Noto based?
Nicholas Noto’s registered office is in Princeton, NJ.
Is Nicholas Noto registered with FINRA?
No. Nicholas Noto has no current broker registration.
How can I verify Nicholas Noto’s record?
Search CRD 7774608 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Noto’s full registration record.