Robert J. Bennett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Bennett Jr., CFP®, who also goes by Bobby Bennett, Robert J Bennett, Robert Joseph Bennett, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2014. Robert had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021
Experience
January 16, 2025 - May 18, 2026
ROUND ROCK ADVISORS LLC
August 25, 2022 - December 20, 2024
MUTUAL OF AMERICA SECURITIES LLC
April 24, 2014 - August 22, 2022
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/30/2022
General Securities Representative ExaminationCurrent Firm
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
Contact information
SEC notice filing (17 States and Territories)
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.
