Scott L. Dynan

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

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CRD#: 3157770

Professional summary

Scott Leonard Dynan is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Leonard Dynan'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

September 3, 2020 - Present

ROUND ROCK ADVISORS LLC

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

RIA

CRD#: 286007

Wilton, CT

Past

June 13, 2019 - June 4, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

New York, NY

Past

March 7, 2019 - June 4, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

New York, NY

Past

April 27, 2006 - September 4, 2018

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

April 24, 2006 - September 4, 2018

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 24, 2006 - May 9, 2006

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - May 9, 2006

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

NEW YORK, NY

Past

April 28, 2000 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 12, 1999 - March 30, 2000

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, 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
(9/3/2020)

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

IAR

Series 65

Date: 3/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/6/2002

Registered Options 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.

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Advisor Monitoring

Firm Stability Insights

Scott L. Dynan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Leonard Dynan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

SANDS BROTHERS & CO., LTD.

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2001

Series 63

Date: 4/16/1999

SIE

Date: 9/4/2018

Series 7

Date: 2/11/1999

Series 4

Date: 6/6/2002

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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