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Thomas Howard Waring

NOTE ADVISORS, LLC·BUFFALO, New York
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50 LAKEFRONT BLVD, SUITE 215, BUFFALO, NY 14202CRD# 1060143Firm CRD# 171466
01

About

Thomas Howard Waring is a registered financial advisor based in BUFFALO, New York, affiliated with NOTE ADVISORS, LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
03

Firm Overview

Firm
NOTE ADVISORS, LLC
NOTE ADVISORS, LLC
AUM
$292M
Regulatory assets under management
Employees
8
Total firm employees
View all advisors at NOTE ADVISORS, LLC →
Services
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Regulatory
SEC/IARD CRD# 1060143
Firm CRD# 171466
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Thomas Howard Waring offer?
Thomas Howard Waring specializes in Financial Planning, Investment Management. Contact their office in BUFFALO, New York for a consultation.
What are Thomas Howard Waring's credentials?
Thomas Howard Waring is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Thomas Howard Waring located?
Thomas Howard Waring is based in BUFFALO, New York, working with NOTE ADVISORS, LLC. Their office serves clients in the BUFFALO metropolitan area and surrounding communities.
How does Thomas Howard Waring charge for services?
Thomas Howard Waring's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is NOTE ADVISORS, LLC?
NOTE ADVISORS, LLC has approximately 8 employees and manages $292M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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