Thomas Waring has been an investment adviser representative at Note Advisors since March 2021, and is not listed among the firm’s executive officers or direct owners.
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 Waring Jr. is Principal of Note Advisors, LLC. His work has centered on advising business owners, their family members and their key employees, aligning their personal and professional visions to help them succeed. He has been doing this for nearly four decades and applies financial know-how and business acumen to guide clients toward better financial outcomes.
Professional designations
Listed by Note Advisors
- Chartered Financial Consultant (ChFC)
- Chartered Life Underwriter (CLU)
Investment adviser representative registrations
Thomas Waring is registered as an investment adviser representative in New York, since March 2021.
- New YorkSince 1 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 9 April 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 August 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 March 1998 |
| Series 22 | Direct Participation Programs Representative Examination | 5 November 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 November 1982 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Howard Waring
- CRD
- 1060143
- Firm
- Note Advisors · CRD 171466
- Office
- 50 LAKEFRONT BLVD, SUITE 215, Buffalo, NY 14202
- Registration
- Investment adviser registration
- In the industry since
- February 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- noteadvisor.com
Where does Thomas Waring work?
Thomas Waring is an investment adviser representative registered through Note Advisors, LLC since March 2021, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Waring a financial advisor?
Yes. Thomas Waring has a current investment-adviser registration in New York, through Note Advisors since March 2021.
How many years of experience does Thomas Waring have?
Thomas Waring has 5 years in the financial industry, since February 2021, across 1 adviser firm.
What exams has Thomas Waring passed?
Thomas Waring has passed 5 licensing exams: the Series 6, Series 22, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in November 1982.
Where is Thomas Waring based?
Thomas Waring’s registered office is in Buffalo, NY.
Is Thomas Waring registered with FINRA?
No. Thomas Waring has no current broker registration.
How can I verify Thomas Waring’s record?
Search CRD 1060143 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Waring’s full registration record.