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Detailed Report
THOMAS J. NOTO JR.
CRD#: 4560521
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 520 LAKE COOK ROAD
SUITE 270
DEERFIELD, IL 60015
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - Present (22 years)
Disclosure(s)
View By:
10/25/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/22/2023
B
Illinois 11/22/2002
B
California 10/4/2023
B
Kansas 11/17/2021
IA
California 10/18/2024
B
Michigan 7/21/2022
B
Florida 8/22/2023
B
Wisconsin 8/22/2023
IA
Florida 9/6/2023
IA
Wisconsin 9/5/2023
IA
Illinois 11/21/2002

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EQUITABLE ADVISORS, LLC (CRD#:6627)
520 LAKE COOK ROAD SUITE 270, DEERFIELD, IL 60015
Registered with this firm since 11/21/2002
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
520 LAKE COOK ROAD SUITE 270, DEERFIELD, IL 60015
Registered with this firm since 8/20/2002
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.