John M. Rosenau
MONECO ADVISORS
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 1346021
Professional summary
John Maxwell Rosenau SR, CFP®, who also goes by John Maxwell Rosenau, is a registered financial advisor currently at MONECO ADVISORS located in Fairfield, Connecticut and LPL FINANCIAL LLC located in Fairfield, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 6 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Education Planning
Budgeting
Retirement Planning
Comprehensive Financial Planni...
Divorce Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
John Maxwell Rosenau
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.
1. 7/21/2005: Non-Variable Insurance - SALE OF TERM LIFE, DISABILITY AND LTC INSURANCE THROUGH HIGHLAND CAPITAL BROKERAGE. - FAIRFIELD, CT - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading. 2. 4/22/2009: Real Estate Rental - Saxony LLC - Investment Related - OWNS 2 CONDOS - 505 & 106 HARVEST COMMON WESTPORT, CT 06580 - 0 Hrs/Mth - 0 Hrs During Trading - 1% OF TIME SPENT. 3. 8/21/2013: DBA for LPL Business (entity for LPL business) - MONECO ADVISORS - FAIRFIELD, CT - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading 4. 11/25/2020 - Moneco Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/22/2014 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Moneco Advisors LLC, an independent investment advisor firm. I started this business activity in 07/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 2/16/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/02/1995 - 5 Hours Per Month/1 Hour During Securities Trading - Term Life, Universal Life, Disability Insurance, Long Term Care Insurance, and Fixed Annuities. 6) 08/01/2025 - MONECO Insurance, LLC - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:07/01/2025 - 30 Hrs/Mth - 20 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view John Maxwell Rosenau SR's 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®
Start date: 1992
Experience
Current
August 22, 2014 - Present
MONECO ADVISORS
Office #1: 2150 Post Road, Suite 201, Fairfield, CT 06824RIA
CRD#: 171922
Fairfield, CT
Current
January 3, 1994 - Present
LPL FINANCIAL LLC
Office #1: 2150 Post Rd, Ste 201, Fairfield, CT 06824RIA
BD
CRD#: 6413
Fairfield, CT
Past
January 28, 2005 - August 11, 2014
MONECO
RIA
CRD#: 112873
FAIRFIELD, CT
Past
September 24, 2003 - December 31, 2004
MONECO
RIA
CRD#: 112873
SOUTHPORT, CT
Past
February 23, 1994 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTHPORT, CT
Past
January 6, 1993 - January 4, 1994
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
March 19, 1991 - January 1, 1993
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
PARSIPPANY, NJ
Past
April 12, 1985 - January 24, 1991
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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".
MA
MONECO ADVISORS
ACORN CONSULTING | WILLOW | ROCCO & ASSOCIATES WEALTH MANAGEMENT | MONECO WESTCHESTER | MONECO NEW CANAAN | MONECO BERKSHIRES | MONECO BERGEN COUNTY | MONECO ADVISORS, LLC | MONECO ADVISORS | LICHTENSTEIN AT MONECO | LICHENSTEIN FINANCIAL
CRD#: 171922 / SEC#: 801-80027
RIA
Registered Investment Advisory firm - (7/14/2014 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/10/2008)
RR
Colorado(9/21/2020)
RR
Connecticut(1/3/1994)
IAR
Connecticut(8/22/2014)
RR
District of Columbia(6/6/2013)
RR
Florida(5/17/2006)
RR
Georgia(9/1/2021)
RR
Idaho(7/30/2020)
RR
Illinois(1/3/2012)
RR
Maine(9/21/2020)
RR
Maryland(1/3/1994)
RR
Massachusetts(3/23/2005)
RR
New Hampshire(9/11/2000)
RR
New Jersey(1/3/2012)
RR
New York(1/3/1994)
RR
North Carolina(5/30/2007)
RR
Oklahoma(9/25/2015)
RR
Oregon(1/9/2015)
RR
Rhode Island(10/15/2015)
RR
South Carolina(5/2/2016)
IAR
Texas(2/24/2016)
RR
Texas(2/23/2021)
RR
Virginia(3/10/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MONECO ADVISORS
ACORN CONSULTING | WILLOW | ROCCO & ASSOCIATES WEALTH MANAGEMENT | MONECO WESTCHESTER | MONECO NEW CANAAN | MONECO BERKSHIRES | MONECO BERGEN COUNTY | MONECO ADVISORS, LLC | MONECO ADVISORS | LICHTENSTEIN AT MONECO | LICHENSTEIN FINANCIAL
CRD#: 171922 / SEC#: 801-80027
RIA
Registered Investment Advisory firm - (7/14/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2150 Post Road, Suite 201, Fairfield, CT 06824
Mailing Address
Phone number
(203) 319-3550
Established
Firm type
Fiscal year end
# of Employees
65
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,130 |
| AUM (Assets Under Management) | $ 1,915,081,746 |
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.
