Thomas Howard Waring Jr
ChFC®, CLU®Professional Summary
Thomas Howard Waring JR, ChFC®, CLU® is a registered financial advisor currently at NOTE ADVISORS, LLC located in Buffalo, New York. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
GCW CAPITAL, LLC | NOTE ADVISORS, LLC
Contact Information
Main Address
50 Lakefront Blvd, Suite 215, Buffalo, NY 14202Phone Number
(716) 256-1682# of Employees
11SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,183AUM (Assets Under Management)
$436,965,505Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
GCW CAPITAL, LLC | NOTE ADVISORS, LLC
State Registrations and Notice Filings
(3/1/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Nov 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1982About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Howard Waring JR's CRS (Customer Relationship Summary).
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