Scott Leonard Dynan

Employer firm

Round Rock Advisors LLC CRD 286007

$907M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2006 → 08/2018
  Neuberger Berman Bd Llc
  New York, NY
• 02/2019 → 12/2019
  Western International Securities, Inc.
  Pasadena, CA
• 01/2019 → 01/2020
  Taurus Asset Management, Llc
  New York, NY
• 08/2018 → 01/2019
  Unemployed
  New Canaan, CT
• 09/2020 → Present
  Round Rock Advisors, Llc
  Wilton, CT
• 01/2020 → 08/2020
  Unemployed
  New Canaan, CT

Previous Registrations

• 2019-06-13 → 2020-06-04
  Western International Securities, Inc.
  Pasadena, CA
  New York, NY
• 2006-04-27 → 2018-09-04
  Neuberger Berman Bd Llc
  New York, NY
  New York, NY
• 2006-03-24 → 2006-05-09
  Clearbridge Investments, Llc
  New York, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-03-24
• S63 Uniform Securities Agent State Law Examination
  1999-04-16