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Detailed Report
ANDREW BRIAN NOTO
CRD#: 6450827
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 909 Poydras Street
Suite 2900
NEW ORLEANS, LA 70112
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2017 - 2019 (2 years)2 FIRMS2022 - Present (2 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2015 - 2017 (1 year)IAPLANNING ASSOCIATES WEALTH MAN... (CRD# 305339)2019 - 2022 (3 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2016 - 2017 (<1 year)
License(s)

State Registrations

B
Alabama 1/1/2023
B
Missouri 1/5/2023
B
Arkansas 1/1/2023
B
Nevada 1/6/2023
B
California 1/1/2023
B
New Jersey 1/6/2023
B
Colorado 12/5/2022
B
New Mexico 1/6/2023
B
District of Columbia 12/5/2022
B
New York 1/6/2023
B
Florida 12/5/2022
B
North Carolina 1/6/2023
B
Georgia 1/1/2023
B
Ohio 1/3/2023
B
Illinois 1/1/2023
B
Oregon 1/1/2023
B
Indiana 1/1/2023
B
Pennsylvania 1/1/2023
B
Kentucky 1/6/2023
B
Rhode Island 1/1/2023
IA
Louisiana 11/16/2022
B
South Carolina 1/1/2023
B
Louisiana 1/6/2023
B
Tennessee 1/11/2023
B
Maine 1/11/2023
IA
Texas 11/16/2022
B
Maryland 1/6/2023
B
Texas 1/1/2023
B
Massachusetts 1/6/2023
B
Virginia 1/1/2023
B
Minnesota 1/6/2023
B
Washington 1/28/2025
B
Mississippi 1/6/2023
B
West Virginia 6/18/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 11/16/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
909 Poydras Street Suite 2900, NEW ORLEANS, LA 70112
Registered with this firm since 11/18/2022
Previous Registration(s)
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IA
 09/06/2019 - 11/01/2022 PLANNING ASSOCIATES WEALTH MANAGEMENT, LLC (CRD#:305339) METAIRIE, LA
IA
 02/01/2017 - 07/23/2019 INFINEX INVESTMENTS, INC. (CRD#:35371) METAIRIE, LA
B
 02/01/2017 - 07/23/2019 INFINEX INVESTMENTS, INC. (CRD#:35371) METAIRIE, LA
IA
 04/11/2016 - 02/02/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) NEW ORLEANS, LA
B
 09/21/2015 - 02/02/2017 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) NEW ORLEANS, LA
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.