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Allison Costas

Round Rock Advisors LLC

Wilton, CT

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Current Employers
Round Rock Advisors Llc

187 Danbury Road Suite 201, Wilton, CT 06897 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-07-30
NH RA APPROVED 2025-07-30
  • CT RA
    APPROVED
    Since 2025-07-30
  • NH RA
    APPROVED
    Since 2025-07-30

Branch Locations

187 Danbury Road Suite 201, Wilton, CT 06897 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Round Rock Advisors Llc Wilton CT 07/2025 Present
Thb Asset Management Norwalk CT 04/2014 07/2025
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-21
  • S65 Uniform Investment Adviser Law Examination
    2025-05-21

View on SEC IAPD

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