Paul J. Resnik

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

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CRD#: 374369

Professional summary

Paul Jay Resnik, CFA is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Paul has worked at 19 firms and has passed the Series 63, Series 65, Series 87, Series 7, Series 16, Series 000, Series 1 and Series 24 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 Paul Jay Resnik'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®

CFA

Chartered Financial Analyst

Experience

Current

May 17, 2022 - Present

ROUND ROCK ADVISORS LLC

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

RIA

CRD#: 286007

Wilton, CT

Past

February 1, 2013 - October 17, 2013

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

May 7, 2009 - January 12, 2011

COLUMBUS ADVISORY GROUP, LTD.

CRD#: 126331

NEW YORK, NY

Past

August 1, 2003 - November 24, 2003

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

July 30, 2002 - June 23, 2003

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

January 17, 2002 - April 14, 2002

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

November 8, 1999 - August 16, 2000

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

June 12, 1997 - January 14, 2002

EASTBROOK CAPITAL GROUP LLC

CRD#: 39781

NEW YORK, NY

Past

December 4, 1996 - July 14, 1997

THE HIGHLAND CAPITAL GROUP, INC.

CRD#: 34795

NEW YORK, NY

Past

April 4, 1995 - May 13, 2019

RESNIK ASSET MANAGEMENT CO., INC.

RIA

CRD#: 120144

YONKERS, NY

Past

September 7, 1993 - March 9, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 7, 1988 - September 7, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 13, 1981 - March 7, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 29, 1980 - July 15, 1981

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

Past

July 9, 1979 - April 14, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 26, 1978 - December 3, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

August 25, 1978 - July 9, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 15, 1975 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

Past

March 1, 1974 - January 15, 1975

G. H. WALKER, LAIRD INCORPORATED

CRD#: 342

Past

April 6, 1973 - April 16, 1974

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

June 15, 1972 - May 27, 1973

SHEARSON, HAMMILL & CO., INCORPORATED

CRD#: 766

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
(5/17/2022)

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: 4/1/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/1/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 87

Date: 9/22/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 5/6/2009

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 9/24/1980

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 000

Date: 6/12/1972

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 6/12/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/10/2009

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.

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Firm Stability Insights

Paul J. Resnik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Jay Resnik's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRIMAN CAPITAL, INC.

COLUMBUS ADVISORY GROUP, LTD.

SOLEIL SECURITIES CORPORATION

WINDSOR STREET CAPITAL, LP

WINDSOR STREET CAPITAL, LP

JOSEPH STEVENS & CO., INC.

EASTBROOK CAPITAL GROUP LLC

THE HIGHLAND CAPITAL GROUP, INC.

RESNIK ASSET MANAGEMENT CO., INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

UBS ASSET MANAGEMENT (US) INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LOEB PARTNERS

WHITE, WELD & CO. INCORPORATED

G. H. WALKER, LAIRD INCORPORATED

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

SHEARSON, HAMMILL & CO., INCORPORATED

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/1998

Series 65

Date: 3/1/1995

Series 87

Date: 9/22/2009

Series 7

Date: 5/6/2009

Series 16

Date: 9/24/1980

Series 000

Date: 6/12/1972

Series 1

Date: 6/12/1972

Series 24

Date: 11/10/2009

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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