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187 Danbury Road Suite 201, Wilton, CT 06897 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-02 |
| CT | RA | APPROVED | 2017-05-03 |
Branch Locations
187 Danbury Road Suite 201, Wilton, CT 06897 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | New Canaan | CT | 09/2005 | 04/2017 |
| Round Rock Advisors Llc | Wilton | CT | 04/2017 | 10/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2017 | 12/2024 |
| Round Rock Advisors Llc | Wilton | CT | 11/2023 | Present |
1)BUSINESS OWNERSHIP; B.T. BOWLER, LLC; OWNER; The LLC is a passthrough entity to track expenses associated with providing risk management to clients outside of RoundRock Advisors, CT 06897; Wilton, CT 06897; Not Investment Related; April 2010; 1-9 hours per month; 1-9 during trading hours. 2)Licensed Insurance Agent; Not investment-related; Same Business Address; Insurance Sales; Insurance Agent;04/2017; 10 hours per month, all of which are during securities trading hours; Implementations of insurance recommendations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-19 |
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