Roy Pfleger II
Advisor at DAI Wealth, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
DAI Wealth, LLC
Location
E Setauket, NY 11733
Credentials
Series 63, Series 65
Industry experience
12 years
About
Roy Pfleger is a financial advisor with DAI Wealth, LLC, holding Series 63 and Series 65 licenses and bringing 12 years of industry experience. His prior roles include positions at Concorde Asset Management, Inc. and Concorde Investment Services, LLC. Outside of his advisory work, he is president and owner of Roy V. Pfleger II Consulting, Inc., where he offers traditional and alternative investment strategies as a consultant. DAI Wealth, LLC provides discretionary and non-discretionary investment management and financial planning services to a diverse client base, including individuals, retirement plans, and charitable organizations. The firm uses a multi-advisor platform and employs multiple custodial and platform arrangements to tailor portfolios to client objectives, incorporating both fundamental and technical analysis.
Client services
Based on DAI Wealth, LLC
Financial planning
Portfolio management
Selection of other advisers
Expertise
Based on DAI Wealth, LLC
Wealth management
Active portfolio management
Private / alternative investments
Retirement plans for business owners (SEP, solo 401k)
Fee options
Financial Planning and Consulting fees may also be flat fees as agreed with client.
up to 2.50% annually (negotiable, varies by account size and services)
IARs may receive commissions from sale of securities, variable annuities, alternative investments through affiliated broker-dealer DAIS.
$50 to $750 per hour for Financial Planning and Consulting services, subject to one-hour minimum.
Location
286 Main Street
E Setauket, NY 11733
Most active in
Roy P has reported serving >5 clients in these states in the last 12 months.
Florida · New York · North Carolina
Work history
DAI Securities, LLC
2020 - Present (6 years)
Concorde Asset Management, Inc.
2015 - 2020 (5 years)
Concorde Investment Services, LLC
2015 - 2020 (5 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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