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John Robert Planell

Round Rock Advisors LLC

Wilton, CT

CRD 1333455

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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:

Current Employers
Round Rock Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-04-21
  • CT RA
    APPROVED
    Since 2017-04-21

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
Ameriprise Financial Services, Inc. New Canaan CT 09/2005 04/2017
Round Rock Advisors Llc New Canaan CT 04/2017 Present
  • 09/2005 → 04/2017
    Ameriprise Financial Services, Inc.
    New Canaan, CT
  • 04/2017 → Present
    Round Rock Advisors Llc
    New Canaan, CT
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-01-09
  • S63 Uniform Securities Agent State Law Examination
    1985-01-09
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

AIS CAPITAL MANAGEMENT L.P.
AGILIS INVESTMENT MANAGEMENT LLC
STONEBRIDGE ADVISORS LLC

Nearby Investors

HEATHER SIMON SEVILLANO
JIN HU
NYDIA E. CONCEPCION

Nearby Offices

AIS CAPITAL MANAGEMENT L.P. · WILTON, CT
AGILIS INVESTMENT MANAGEMENT LLC · WILTON, CT
STONEBRIDGE ADVISORS LLC · WILTON, CT

More in Wilton, CT

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