Thomas Yao

MONECO ADVISORS

FAIRFIELD, CT 06824

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CRD#: 5828750

Professional summary

Thomas Yao, who also goes by Thomas L Yao, is a registered financial advisor currently at MONECO ADVISORS located in Fairfield, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Thomas has worked at 2 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Thomas L Yao

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Yao's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 11, 2026 - Present

MONECO ADVISORS

Office #1: 2150 Post Road, Suite 201, Fairfield, CT 06824

RIA

CRD#: 171922

FAIRFIELD, CT

Past

May 22, 2024 - August 6, 2026

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Westport, 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".

MONECO ADVISORS

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/11/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/2024

Uniform Investment Adviser Law Examination

Current Firm

MONECO ADVISORS

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

SEC notice filing (35 States and Territories)

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 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.

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Thomas Yao

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Yao's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONECO ADVISORS

HIGHTOWER ADVISORS, LLC

Primary Firm SEC Registration

MONECO ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2024

Current Firm

MONECO ADVISORS

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONECO ADVISORS

TRUST BUT VERIFY

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