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Joseph W Rocco JR

Joseph W. Rocco

Some features on this profile are disabled
CRD#: 401977
Joseph W Rocco JR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph W Rocco JR, CFP®, who also goes by Joseph William Rocco Jr, Joe Rocco, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1974. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

What are your service offerings?
Long-term Care
Comprehensive Financial Planni...
Small Business Planning
Insurance Planning
Social Security Planning
Retirement Income Management
Elder Care
Retirement Planning
Employee and Employer Plan Ben...
Business Succession Planning
Investment Planning
Budgeting
Debt Management
Education Planning
Estate Planning
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
No

Aliases

Joseph William Rocco Jr | Joe Rocco

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. 11/17/2014 - RSB & ASSOCIATES - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 06/01/1976 - 5 Hours Per Month/0 Hours During Securities Trading. 2. 2/17/2015: NO BUSINESS NAME - Not Investment Related - At Reported Business Location(s) - Other-NOTARY - START 06/01/1987 - 0 Hours Per Month - NOTARY PUBLIC OFFICIAL. 3. 3/27/2018 - MONECO Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/26/2018 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Moneco Advisors, LLC., an independent investment advisor firm. I started this business activity in March 2018. 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. 4. 3/27/2018 - Moneco Advisors, LLC - DBA: Rocco & Associates Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/26/2018 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Moneco Advisors, LLC., an independent investment advisor firm. I started this business activity in March 2018. 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Start date: 1979

Experience

Past

March 26, 2018 - December 26, 2023

MONECO ADVISORS

RIA
CRD#: 171922
FAIRFIELD, CT
Past

July 8, 2016 - March 26, 2018

MARINER ADVISOR NETWORK

RIA
CRD#: 283824
Fairfield, CT
Past

October 22, 2014 - July 8, 2016

STRATEGIC WEALTH ADVISORS GROUP

RIA
CRD#: 140977
FAIRFIELD, CT
Past

November 6, 1991 - October 29, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
FAIRFIELD, CT
Past

August 29, 1989 - January 2, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FAIRFIELD, CT
Past

September 27, 1988 - December 31, 2006

LINCOLN & ROCCO FINANCIAL PLANNERS INC

RIA
CRD#: 126336
FAIRFIELD, CT
Past

September 3, 1987 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

BD
CRD#: 524
Past

March 20, 1980 - September 8, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

July 2, 1974 - May 29, 1980

VP DISTRIBUTORS LLC

BD
CRD#: 3036

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1980
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/27/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/1989
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (8/18/2025)
WRAP PROGRAM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts6,130
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.

Company Information

MONECO ADVISORS

CRD#: 171922

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