Thomas J. Conway

NOTE ADVISORS

BUFFALO, NY 14202

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CRD#: 7392715

Professional summary

Thomas John Conway 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 2025. Thomas has worked at 1 firm and has passed the SIE exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Conway'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®

None

Experience

Current

April 16, 2025 - Present

NOTE ADVISORS, LLC

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

RIA

CRD#: 171466

BUFFALO, 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
(4/16/2025)

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

General Industry/Product Exam

SIE

Date: 6/9/2023

Securities Industry Essentials 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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Thomas J. Conway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Conway's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOTE ADVISORS, LLC

Primary Firm SEC Registration

NOTE ADVISORS, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 6/9/2023

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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