Charles W. Rocco
MONECO ADVISORS
Fairfield, CT 06824
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CRD#: 6039796
Professional summary
Charles William Rocco, CFP®, who also goes by Charles Rocco, Charlie Rocco, is a registered financial advisor currently at MONECO ADVISORS located in Fairfield, Connecticut and LPL FINANCIAL LLC located in Fairfield, Connecticut.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Charles has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Charles Rocco | Charlie 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) 7/16/2015 - Rocco & Associates Wealth Management, Inc. - Insurance Agency - Fairfield, CT - Inv Rel - Start date: 07/15/15 - 10Hrs/Mnth during Trading 2) 11/12/2020 - MONECO Advisors LLC - DBA: (Hybrid) Moneco Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/26/2018 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Moneco Advisors, an independent investment advisor firm. I started this business activity in 03/2018. 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. 3) 9/23/2021 - MONECO Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2019 - 160 Hours Per Month/130 Hours During Securities Trading. 4) 07/18/2025 - Moneco Insurance LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start date: 07/01/2025 - 10Hrs/Mnth during Trading 5) 08/14/2025 - 363 Reef Road Real Estate - Real Estate Rental - Fairfield CT - inv Rel - Start date :10/01/2025 - 5Hrs/mnth 1hr during trading
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Rocco'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®
CFP®
Start date: 2019
Experience
Current
March 26, 2018 - Present
MONECO ADVISORS
Office #1: 2150 Post Road, Suite 201, Fairfield, CT 06824RIA
CRD#: 171922
Fairfield, CT
Current
September 21, 2012 - Present
LPL FINANCIAL LLC
Office #1: 2150 Post Rd, Ste 201, Fairfield, CT 06824RIA
BD
CRD#: 6413
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 19, 2012 - October 29, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FAIRFIELD, 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
Alabama(1/4/2021)
RR
Arizona(1/4/2021)
RR
Arkansas(1/20/2022)
RR
California(1/13/2015)
RR
Colorado(1/13/2015)
RR
Connecticut(11/19/2012)
IAR
Connecticut(3/26/2018)
RR
Delaware(1/4/2021)
RR
District of Columbia(8/10/2015)
RR
Florida(1/13/2015)
RR
Georgia(1/13/2015)
RR
Hawaii(1/20/2022)
RR
Idaho(2/7/2023)
RR
Illinois(1/4/2021)
RR
Indiana(1/4/2021)
RR
Kentucky(1/4/2021)
RR
Louisiana(1/20/2022)
RR
Maine(1/13/2015)
RR
Maryland(11/18/2020)
RR
Massachusetts(1/13/2015)
RR
Michigan(1/4/2021)
RR
Minnesota(1/4/2021)
RR
Mississippi(9/7/2017)
RR
Missouri(1/4/2021)
RR
Montana(9/16/2022)
RR
Nebraska(1/20/2022)
RR
Nevada(11/4/2016)
RR
New Hampshire(1/13/2015)
RR
New Jersey(1/13/2015)
RR
New Mexico(1/4/2021)
RR
New York(1/13/2015)
RR
North Carolina(1/13/2015)
RR
Ohio(1/4/2021)
RR
Oklahoma(1/4/2021)
RR
Oregon(1/13/2015)
RR
Pennsylvania(1/13/2015)
RR
Rhode Island(12/19/2016)
RR
South Carolina(1/27/2016)
RR
Tennessee(1/4/2021)
RR
Texas(1/13/2015)
IAR
Texas(4/1/2018)
RR
Utah(1/20/2022)
RR
Vermont(1/13/2015)
RR
Virginia(1/13/2015)
RR
Washington(1/4/2021)
RR
Wisconsin(1/4/2021)
Exams
State Security Law 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.
