PN
Peter J. Noto
&PARTNERS
PITTSFORD, NY 14534
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CRD#: 1560542
PN
Professional summary
Peter Joseph Noto is a registered financial advisor currently at &PARTNERS located in Pittsford, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 22, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ROCHESTER ROTARTY CHARITABLE TRUST, INV RELATED, ROCHESTER, NY, INVESTMENT COMMITTEE MEMBER, START 1/1/2019, .25 HOURS PER MONTH, ZERO DURING TRADING, REVIWING PERFORMANCE, ADHERENCE TO INVESTMENT POLICY, AND RECOMMENDATIONS FROM THE ADVISOR. RIVERGATE TOWNHOUSES CONDO ASSN POSITION: Board Member NATURE: This is a standard Condo Association Board that oversees a 19 unit Townhome Community of which my wife and I own a single unit. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 02/24/2025 ADDRESS: Pompano Beach, FL 33062, United States DESCRIPTION: I have been elected to a 3 person Board in the capacity of Vice President. plan is for us to meet no less than quarterly and as needed throughout the year. THE AQUINAS INSTITUTE OF ROCHESTER FOUNDATION POSITION: Board Member NATURE: Currently I am a member of the Foundation Board whose primary purpose is to manage the assets of the Aquinas Institute, and private co-ed school for grades 6-12. The Endowment is handled by a third-party Investment Advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1999 ADDRESS: Rochester, NY 14613 DESCRIPTION: I serve as Vice Chairman and am involved with all Foundation activities which are primarily focused on providing financial support and aid for the Aquinas Institute and it's students.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Joseph Noto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Joseph Noto's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 30, 2024 - Present
&PARTNERS
Office #1: 40 A Grove St., Suite 200, Pittsford, NY 14534RIA
BD
CRD#: 3767
PITTSFORD, NY
Current
August 30, 2024 - Present
&PARTNERS
Office #1: 40 A Grove St., Suite 200, Pittsford, NY 14534RIA
BD
CRD#: 3767
PITTSFORD, NY
Past
March 5, 2013 - September 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROCHESTER, NY
Past
October 1, 1999 - May 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROCHESTER, NY
Past
October 1, 1999 - September 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROCHESTER, NY
Past
February 22, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
September 4, 1998 - February 19, 1999
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
March 22, 1989 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
BD
CRD#: 11896
ROCHESTER, NY
Past
September 12, 1986 - July 20, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/30/2024)
RR
Arkansas(8/30/2024)
RR
California(8/30/2024)
RR
Colorado(8/30/2024)
RR
Connecticut(8/30/2024)
RR
Delaware(8/30/2024)
RR
District of Columbia(8/30/2024)
RR
Florida(8/30/2024)
IAR
Florida(9/3/2024)
RR
Georgia(8/30/2024)
RR
Illinois(8/30/2024)
RR
Indiana(8/30/2024)
RR
Kentucky(9/3/2024)
RR
Louisiana(8/30/2024)
RR
Maine(8/30/2024)
RR
Maryland(8/30/2024)
RR
Massachusetts(9/3/2024)
RR
Michigan(8/30/2024)
RR
Minnesota(8/30/2024)
RR
Missouri(8/30/2024)
RR
Nevada(9/4/2024)
RR
New Hampshire(8/30/2024)
RR
New Jersey(8/30/2024)
IAR
New Jersey(8/30/2024)
RR
New Mexico(8/30/2024)
RR
New York(8/30/2024)
IAR
New York(8/30/2024)
RR
North Carolina(9/5/2024)
RR
Ohio(8/30/2024)
RR
Oklahoma(8/30/2024)
RR
Oregon(8/30/2024)
RR
Pennsylvania(8/30/2024)
RR
Rhode Island(8/30/2024)
RR
South Carolina(9/5/2024)
RR
Tennessee(8/30/2024)
RR
Texas(8/30/2024)
IAR
Texas(8/30/2024)
RR
Vermont(8/30/2024)
RR
Virginia(8/30/2024)
RR
Washington(9/5/2024)
RR
Wisconsin(8/30/2024)
RR
Wyoming(8/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/10/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Mailing Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Phone number
(615) 255-6431
Established
Tennessee since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
475
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPERSAND PARTNERS, LLC | OWNER | |
| ALEXANDER, JOHN W | CO-PRESIDENT | 2327561 |
| COOPER, CHYRLAN ELIZABETH | COO | 4160240 |
| IDOL, KALEY PORTER | CHIEF COMPLIANCE OFFICER | 6950052 |
| KOWACH, DAVID JOHN | CEO | 2154665 |
| NELSON, RICHARD SCOTT | CFO | 5014790 |
| SCHALLER, MICHAEL CHRISTOPHER | CONTROLLER/FINOP | 5899085 |
| STEVENS, ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | 5451096 |
| WILEY III, DAVID WARREN III | CO-PRESIDENT | 720094 |
Regulatory assets under management
| Total Number of Accounts | 32,200 |
| AUM (Assets Under Management) | $ 14,146,591,395 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 | ||
| 12/29/2023 | ||
| 01/03/2023 |
Red Flags
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.
Company Information
&PARTNERS
CRD#: 3767Pittsford, NY 14534TRUST BUT VERIFY
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Contact information
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