RP
Roy V. Pfleger
DAI WEALTH
E SETAUKET, NY 11733
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CRD#: 5896655
RP
Professional summary
Roy Vincent Pfleger II, who also goes by Roy VIncent Pfleger, Roy Pfleger, is a registered financial advisor currently at DAI WEALTH, LLC located in E Setauket, New York and DAI SECURITIES, LLC located in E Setauket, New York.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Roy has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roy Vincent Pfleger | Roy Pfleger
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) Roy V. Pfleger II Consulting, Inc.; E. Setauket, NY . President/Owner; Manage and operate entity. Offer traditional and alternative investment strategies as a consultant to clients.
2) ALPINE BROKERAGE SERVICES.INSURANCE BROKER.INSURANCE BROKERAGE SERVICES.1-3 HOURS SPENT AT OTHER BUSINESS DURING BUSINESS HOURS.1-3 HOURS SPENT OTHER BUSINESS DURING NON-TRADING HOURS.PROVIDE CLIENTS SOPHISTICATED INSURANCE PLANNING RESOURCES THROUGH NON-VARIABLE INSURANCE PRODUCTS.THESE ARE INSURANCE SOLUTIONS NOT CORRELATED TO THE WEALTH MANAGEMENT PRACTICE.
3) DAI Wealth, Inc, E. Setauket, NY. Investment Related, Start date 05/2020, Investment Advisor Representative, Sales and Service.
4) DAI Agency; E. Setauket, NY. Insurance Agent; provide insurance services to clients when appropriate. No client conflict.
CRS (Client Relationship Summary) - RIA
Click below to view Roy Vincent Pfleger II'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®
NoneExperience
Current
May 31, 2022 - Present
DAI WEALTH, LLC
Office #1: 286 Main Street, E Setauket, NY 11733RIA
CRD#: 138938
E SETAUKET, NY
Current
May 13, 2020 - Present
DAI SECURITIES, LLC
Office #1: 286 Main Street, E Setauket, NY 11733BD
CRD#: 36673
E Setauket, NY
Past
May 29, 2015 - May 19, 2020
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Port Jefferson, NY
Past
April 3, 2014 - June 2, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
PORT JEFFERSON, NY
Past
February 19, 2014 - April 4, 2014
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WESTBURY, NY
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".
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 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
Arizona(8/5/2021)
RR
California(5/26/2020)
RR
Colorado(3/3/2021)
RR
Florida(9/8/2020)
IAR
Florida(10/21/2022)
RR
Georgia(5/20/2020)
RR
Idaho(4/21/2021)
RR
Kentucky(5/27/2021)
RR
Maryland(1/29/2021)
RR
Massachusetts(5/13/2020)
RR
Michigan(5/25/2021)
RR
New Jersey(5/13/2020)
RR
New York(5/13/2020)
IAR
New York(5/31/2022)
RR
North Carolina(2/5/2021)
IAR
North Carolina(3/29/2023)
RR
Oregon(2/9/2021)
RR
Rhode Island(7/6/2020)
RR
Texas(1/28/2021)
RR
Utah(5/22/2020)
RR
Vermont(2/20/2021)
RR
Virginia(7/28/2021)
RR
Washington(3/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
Phone number
(404) 531-7080
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 267,417,235 |
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
DAI WEALTH, LLC
CRD#: 138938E Setauket, NY 11733TRUST BUT VERIFY
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