PO
Peter C. Osborne
MONECO ADVISORS
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 2153272
PO
Professional summary
Peter Charles Osborne, AIF® is a registered financial advisor currently at MONECO ADVISORS located in Fairfield, Connecticut and LPL FINANCIAL LLC located in Fairfield, Connecticut.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Peter has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
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.
1. 06/30/2010- OTHER, I MANAGE AND ACT AS LANDLORD FOR 2 RENTAL PROPERTIES OWNED SOLELY BY MY WIFE, 1%. 2. 11/6/2017 - Moneco Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 11/01/2017 - 120 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Moneco Advisors, LLC, an independent investment advisor firm. I started this business activity in 10/04/2017. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firms 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. 3. 4/11/2018 - Moneco Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/01/2017 - 160 Hours Per Month/7 Hours During Securities Trading. 4. 1/23/2020 - Stratfield Management, LLC - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 01/09/2020 - 1 Hours Per Month/0 Hours During Securities Trading - Limited Liability Company for the purpose of filing federal and state income taxes as an S Corporation. 5. 02/27/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/23/2024 - 1 Hour Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Peter Charles Osborne'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®
Experience
Current
October 30, 2017 - Present
MONECO ADVISORS
Office #1: 2150 Post Road, Suite 201, Fairfield, CT 06824RIA
CRD#: 171922
Fairfield, CT
Current
May 16, 2003 - Present
LPL FINANCIAL LLC
Office #1: 2150 Post Rd, Ste 201, Fairfield, CT 06824RIA
BD
CRD#: 6413
Fairfield, CT
Past
May 16, 2003 - October 21, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
AVON, CT
Past
August 25, 1997 - June 6, 2003
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SOUTHPORT, CT
Past
June 20, 1994 - June 6, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
July 31, 1993 - July 5, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 12, 1991 - October 20, 1992
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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(7/11/2018)
RR
Connecticut(5/16/2003)
IAR
Connecticut(10/30/2017)
RR
Florida(11/11/2020)
RR
Maine(10/4/2023)
RR
Massachusetts(5/16/2003)
RR
New York(9/26/2023)
RR
Pennsylvania(2/1/2021)
RR
Rhode Island(8/22/2023)
IAR
Texas(7/15/2021)
RR
Virginia(8/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
