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EM

Eamon H. Moran

ROUND ROCK ADVISORS LLC
Wilton, CT 06897
Some features on this profile are disabled
CRD#: 4127342
EM

Professional summary

Eamon Hugh Moran, who also goes by Eamon Hugh Moran, Eamon Moran, is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

Eamon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Eamon has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Eamon Hugh Moran | Eamon Moran

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.
Insurance Sales; 187 DANBURY ROAD, SUITE 201 WILTON, CT 06897 United States; Non-Investment Related; Appx 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eamon Hugh Moran'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

January 5, 2021 - Present

ROUND ROCK ADVISORS LLC

Office #1: 187 Danbury Road Suite 201, Wilton, CT 06897
RIA
CRD#: 286007
Wilton, CT
Past

June 13, 2019 - November 3, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ANSONIA, CT
Past

May 7, 2019 - November 3, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ANSONIA, CT
Past

November 30, 2010 - May 9, 2013

ONE AMHERST PARTNERS, LLC

BD
CRD#: 152359
BIRMINGHAM, MI
Past

March 7, 2006 - January 20, 2009

P & M CORPORATE FINANCE, LLC

BD
CRD#: 129624
SOUTHFIELD, MI
Past

July 11, 2000 - August 1, 2002

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN

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".
RR
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
(1/5/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2006
General Securities Representative Examination

Current Firm

RR
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
24

SEC notice filing (17 States and Territories)

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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 Accounts2,126
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.

Company Information

ROUND ROCK ADVISORS LLC

CRD#: 286007Wilton, CT 06897

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