Thomas Conway has been an investment adviser representative at Note Advisors since April 2025, and is not listed among the firm’s executive officers or direct owners. Thomas Conway holds a Bachelor's degree in Finance and Wealth Management from John Carroll University.
Note Advisors, LLC is a Buffalo, NY firm with $437M under management, 542 clients and 6 advisers in one office, as of its March 2026 filing.
Thomas Conway is Financial Planner of Note Advisors, LLC. He works closely with individuals and families to develop and monitor financial plans built around their goals and situations. He also supports the firm's investment operations through day-to-day portfolio management assistance and serves on its Financial Planning and Investment Committees. Before joining Note, he gained experience at a registered investment advisory firm in Cleveland, Ohio.
Professional designations
Listed by Note Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Accredited Portfolio Management Advisor℠ (APMA®)
Investment adviser representative registrations
Thomas Conway is registered as an investment adviser representative in New York, since April 2025.
- New YorkSince 16 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | 9 June 2023 |
- Name
- Securities Industry Essentials Examination
- Full name
- Thomas John Conway
- CRD
- 7392715
- Firm
- Note Advisors · CRD 171466
- Office
- 50 LAKEFRONT BLVD, SUITE 215, Buffalo, NY 14202
- Registration
- Investment adviser registration
- In the industry since
- April 2025
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- noteadvisor.com
Where does Thomas Conway work?
Thomas Conway is an investment adviser representative registered through Note Advisors, LLC since April 2025, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Conway a financial advisor?
Yes. Thomas Conway has a current investment-adviser registration in New York, through Note Advisors since April 2025.
How many years of experience does Thomas Conway have?
Thomas Conway has 1 year in the financial industry, since April 2025, across 1 adviser firm.
What exams has Thomas Conway passed?
Thomas Conway passed the SIE in June 2023.
Where is Thomas Conway based?
Thomas Conway’s registered office is in Buffalo, NY.
Is Thomas Conway registered with FINRA?
No. Thomas Conway has no current broker registration.
Is Thomas Conway a CFP?
Note Advisors lists Thomas Conway with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Thomas Conway, CFP®, APMA™ biography, noteadvisor.com
How can I verify Thomas Conway’s record?
Search CRD 7392715 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Conway’s full registration record.