John R. Planell

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

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CRD#: 1333455

Professional summary

John Robert Planell, CFP® is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INDEPENDENT INSURANCE BROKERING; MASS MUTUAL;DEC 2014.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Planell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

April 21, 2017 - Present

ROUND ROCK ADVISORS LLC

Office #1: 187 Danbury Road Suite 201, Wilton, CT 06897

RIA

CRD#: 286007

Wilton, CT

Past

October 3, 2006 - April 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

POUND RIDGE, NY

Past

November 17, 2000 - February 15, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 11, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

CRD#: 11176

Past

January 11, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 11, 1985 - April 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

POUND RIDGE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROUND ROCK ADVISORS LLC

ARMSTRONG SHAW | THOMSON, HORSTMANN & BRYANT ASSET MANAGEMENT | RR ADVISORS LLC | ROUND ROCK ADVISORS LLC

CRD#: 286007 / SEC#: 801-108989

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/21/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/9/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/26/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/9/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROUND ROCK ADVISORS LLC

ARMSTRONG SHAW | THOMSON, HORSTMANN & BRYANT ASSET MANAGEMENT | RR ADVISORS LLC | ROUND ROCK ADVISORS LLC

CRD#: 286007 / SEC#: 801-108989

RIA

Registered Investment Advisory firm - (1/23/2017 Approved)

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Contact information

Main Address

187 Danbury Road Suite 201, Wilton, CT 06897

Mailing Address

Phone number

(203) 920-4774

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROUND ROCK ADVISORS DISCLOSURE BROCHURE (9/18/2025)

Regulatory assets under management

Total Number of Accounts	2,126
AUM (Assets Under Management)	$ 814,558,622

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John R. Planell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Planell's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/1985

SIE

Date: 4/24/2017

Series 7

Date: 12/14/1985

Series 22

Date: 2/26/1985

Series 6

Date: 1/9/1985

Current Firm

ROUND ROCK ADVISORS LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROUND ROCK ADVISORS LLC

TRUST BUT VERIFY

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