Lynda Kommel-browne

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

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CRD#: 1365671

Professional summary

Lynda Kommel-browne, who also goes by Lynda Kommel, is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

Lynda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Lynda has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lynda Kommel

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.

1.) FINRA; NON-INVESTMENT RELATED; 1 LIBERTY STREET APT 500, NEW YORK, NY, 10006; GOVERNMENTAL AUTHORITY; FINRA ARBITRATOR; SINCE 7/6/2021; 1 HOUR/MONTH DURING NON TRADING HOURS; SERVES AS AN ARBITRATOR TO RESOLVE REGULATORY DISPUTES BROUGHT TO FINRA'S ATTENTION. 2.) INSURANCE BROKER; INVESTMENT RELATED; WILTON, CT; MRS. KOMMEL-BROWNE SELLS LIFE INSURANCE IN AN INDEPENDENT CAPACITY; SINCE 12/01/2021; APPROXIMATELY 10% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynda Kommel-browne'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®

None

Experience

Current

May 31, 2022 - Present

ROUND ROCK ADVISORS LLC

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

RIA

CRD#: 286007

Wilton, CT

Past

July 27, 2020 - January 31, 2022

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Westport, CT

Past

June 15, 2020 - September 8, 2020

LPL FINANCIAL LLC

CRD#: 6413

WESTPORT, CT

Past

October 1, 2002 - September 9, 2019

MAYBANK SECURITIES USA INC.

CRD#: 27861

NEW YORK, NY

Past

June 13, 2001 - September 11, 2001

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

CRD#: 8010

NEW YORK, NY

Past

May 1, 1999 - March 16, 2001

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

March 15, 1995 - May 1, 1999

ABN AMRO ASIA INC.

CRD#: 37057

NEW YORK, NY

Past

March 2, 1994 - March 28, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 21, 1988 - April 1, 1994

BURNS FRY INC

CRD#: 7146

NEW YORK, NY

Past

June 18, 1985 - April 21, 1988

HOARE GOVETT INCORPORATED

CRD#: 10882

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
(5/31/2022)

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: 7/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/1994

General Securities Principal 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lynda Kommel-browne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynda Kommel-browne's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

MAYBANK SECURITIES USA INC.

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

ABN AMRO INCORPORATED

ABN AMRO ASIA INC.

CITIGROUP GLOBAL MARKETS INC.

BURNS FRY INC

HOARE GOVETT INCORPORATED

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1985

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 24

Date: 12/29/1994

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

Contact information

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