Shawn C. Glogowski

NOTE ADVISORS

BUFFALO, NY 14202

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CRD#: 5260757

Professional summary

Shawn Casey Glogowski, CFP®, who also goes by Shawn Glogowski, is a registered financial advisor currently at NOTE ADVISORS, LLC located in Buffalo, New York.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Shawn has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shawn Glogowski

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.

NAME: SHAWN GLOGOWSKI INV REL: N ADD: 38 LAKE STREET, HAMBURG, NY 14075 NATURE: FIXED LIFE/HEALTH INSURANCE SALES POSITION: INDEPENDENT AGENT START DATE: 01/2017 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Casey Glogowski's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

March 17, 2017 - Present

NOTE ADVISORS, LLC

Office #1: 50 Lakefront Blvd, Suite 215, Buffalo, NY 14202

RIA

CRD#: 171466

BUFFALO, NY

Past

December 18, 2007 - August 15, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

HAMBURG, NY

Past

December 19, 2006 - December 11, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

WILLIAMSVILLE, NY

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".

NOTE ADVISORS, LLC

GCW CAPITAL, LLC | NOTE ADVISORS, LLC

CRD#: 171466 / SEC#: 801-79807

RIA

Registered Investment Advisory firm - (5/27/2014 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(2/26/2021)

IAR

Texas
(3/17/2017)

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

State Security Law Exam

IAR

Series 66

Date: 1/16/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/2006

General Securities Representative Examination

Current Firm

NOTE ADVISORS, LLC

GCW CAPITAL, LLC | NOTE ADVISORS, LLC

CRD#: 171466 / SEC#: 801-79807

RIA

Registered Investment Advisory firm - (5/27/2014 Approved)

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Contact information

Main Address

50 Lakefront Blvd, Suite 215, Buffalo, NY 14202

Mailing Address

Phone number

(716) 256-1682

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOTE FORM ADV PART 2A 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,010
AUM (Assets Under Management)	$ 382,234,812

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.

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Shawn C. Glogowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Casey Glogowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOTE ADVISORS, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NOTE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2007

Series 7

Date: 12/18/2006

Current Firm

NOTE ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOTE ADVISORS, LLC

TRUST BUT VERIFY

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