CM
Charles D. Maclean
MONECO ADVISORS
New Canaan, CT 06840
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CRD#: 6360770
CM
Professional summary
Charles Douglas Maclean, who also goes by Charles Maclean, Doug Maclean, is a registered financial advisor currently at MONECO ADVISORS located in New Canaan, Connecticut and LPL FINANCIAL LLC located in New Canaan, Connecticut.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Charles has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Maclean | Doug Maclean
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. 9/2021 - DBA for LPL Business (entity for LPL business) - MONECO New Canaan - Investment Related - New Canaan CT, 06840 2. 11/05/2021 - Daly Brokerage - Investment Related - 200 Executive Blvd S Ste 4J, Southington, CT 06489 - Non-Variable Insurance - Start Date: 11/04/2021 - 4 Hours Per Month/1 Hour During Securities Trading. 3. 12/16/2021 - Moneco Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 09/02/2021 - 40 Hours Per Month/40 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through Moneco Advisors, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 40 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 4. 12/17/2024- Watercroft Capital LLC-Business Entity For Tax/Investment Purposes Only- Not INV Related- At Fairfield County, Connecticut- Start date 07/19/2024
CRS (Client Relationship Summary) - RIA
Click below to view Charles Douglas Maclean'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
September 2, 2021 - Present
MONECO ADVISORS
Office #1: 175 Elm Street, New Canaan, CT 06840RIA
CRD#: 171922
New Canaan, CT
Current
September 2, 2021 - Present
LPL FINANCIAL LLC
Office #1: 175 Elm St, New Canaan, CT 06840RIA
BD
CRD#: 6413
New Canaan, CT
Past
March 25, 2017 - September 14, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
STAMFORD, CT
Past
March 25, 2017 - September 14, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
STAMFORD, CT
Past
January 14, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
STAMFORD, CT
Past
July 1, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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
Arizona(9/2/2021)
RR
California(5/15/2024)
RR
Connecticut(9/2/2021)
IAR
Connecticut(9/2/2021)
RR
Florida(9/2/2021)
RR
Michigan(9/2/2021)
RR
New Jersey(9/2/2021)
RR
New York(9/2/2021)
RR
Pennsylvania(9/2/2021)
RR
Texas(9/2/2021)
IAR
Texas(9/2/2021)
Exams
State Security Law Exam
State Security Law 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
Registered Investment Advisory firm - (7/14/2014 Approved)Upgrade to AdvisorCheck Premium
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
