DP
Dana S. Preis
MONECO ADVISORS
Fairfield, CT 06824
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CRD#: 3268819
DP
Professional summary
Dana Seth Preis, ChFC® is a registered financial advisor currently at MONECO ADVISORS located in Fairfield, Connecticut and LPL FINANCIAL LLC located in Fairfield, Connecticut.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dana has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) 03/05/2010: Capital Brokerage in Norwalk, CT - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 1-2 Hrs/Mth - 0 Hrs During Trading. (2) 09/07/2016: Moneco Advisors - Registered Investment Advisor Hybrid - Investment Related - 65 Cedar Hill Road, Easton, CT, 06612 - Start 08/29/2016 - 160 Hr/Mo; 130 Hour(s) During Securities Trading - I provide investment advisory services through Moneco Advisors, an independent investment advisor firm. I started this business activity in August, 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. 3) 07/25/2025 - Moneco Insurance. LLC - Non-Variable Insurance - At Reported Business Location(s) - Investment Related - Start Date:07/01/2025 - 4 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Seth Preis'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
November 3, 2014 - Present
MONECO ADVISORS
Office #1: 2150 Post Road, Suite 201, Fairfield, CT 06824RIA
CRD#: 171922
Fairfield, CT
Current
July 23, 2009 - Present
LPL FINANCIAL LLC
Office #1: 2150 Post Rd, Ste 201, Fairfield, CT 06824RIA
BD
CRD#: 6413
Fairfield, CT
Past
March 11, 2013 - October 8, 2014
NORTHEAST PLANNING ASSOCIATES, INC.
RIA
CRD#: 131406
EASTON, CT
Past
July 23, 2009 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
EASTON, CT
Past
May 22, 2003 - July 28, 2009
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
STAMFORD, CT
Past
September 27, 1999 - July 28, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
STAMFORD, 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(1/10/2013)
RR
Connecticut(7/23/2009)
IAR
Connecticut(11/3/2014)
RR
Florida(7/23/2009)
RR
Maine(10/22/2021)
RR
Massachusetts(10/6/2011)
RR
New Jersey(7/12/2023)
RR
New York(7/23/2009)
RR
North Carolina(4/30/2025)
Exams
State Security Law Exam
State Security Law 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
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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
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