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John Robert Planell

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 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

View on SEC IAPD

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