JN
John Noto
TD PRIVATE CLIENT WEALTH LLC
Princeton, NJ 08540
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CRD#: 4254977
JN
Professional summary
John Noto, who also goes by John Thomas Noto, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Princeton, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Thomas Noto
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.
OBA Name: 11 Liberty Drive; Position: Owner; Address: 11 Liberty Drive, Langhorne PA 19067; Duties: Landlord; Percent time devoted: 1%; Number of hours per month devoted: 1 hr; Number of hours per month during trading hours devoted: 0 hrs; Start Date: 2/17/2016; Investment Related: No;
CRS (Client Relationship Summary) - RIA
Click below to view John Noto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John 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
January 26, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Nassau Street 1st Floor, Princeton, NJ 08540RIA
BD
CRD#: 164484
Princeton, NJ
Current
January 26, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 255 Nassau Street 1st Floor, Princeton, NJ 08540RIA
BD
CRD#: 164484
Princeton, NJ
Past
January 28, 2021 - February 3, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
EAST BRUNSWICK, NJ
Past
November 3, 2020 - February 3, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
EAST BRUNSWICK, NJ
Past
July 13, 2001 - October 20, 2020
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
MALVERN, PA
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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
California(9/11/2025)
IAR
California(9/11/2025)
RR
Connecticut(5/10/2023)
IAR
Connecticut(5/11/2023)
RR
Delaware(9/11/2023)
IAR
Delaware(9/18/2023)
RR
Florida(3/7/2023)
IAR
Florida(3/8/2023)
RR
New Jersey(1/26/2022)
IAR
New Jersey(1/26/2022)
RR
New York(1/26/2022)
IAR
New York(1/26/2022)
RR
Pennsylvania(1/26/2022)
IAR
Pennsylvania(1/26/2022)
RR
Vermont(3/7/2023)
IAR
Vermont(3/8/2023)
RR
Virginia(9/19/2025)
IAR
Virginia(9/23/2025)
RR
Washington(8/1/2024)
IAR
Washington(8/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Princeton, NJ 08540TRUST BUT VERIFY
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