Robert J. Bennett

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

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CRD#: 6080128

Professional summary

Robert Joseph Bennett, CFP®, who also goes by Bobby Bennett, Robert J Bennett, is a registered financial advisor currently at ROUND ROCK ADVISORS LLC located in Wilton, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Robert has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bobby Bennett | Robert J Bennett

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) Licensed insurance agent; Not investment-related; Stratford, CT 06614; Insurance sales; Implementation of insurance recommendations; Less than 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Bennett'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

January 16, 2025 - Present

ROUND ROCK ADVISORS LLC

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

RIA

CRD#: 286007

Wilton, CT

Past

August 25, 2022 - December 20, 2024

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

PARSIPPANY, NJ

Past

April 24, 2014 - August 22, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

STRATFORD, CT

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
(1/16/2025)

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: 5/4/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/24/2014

Investment Company Products/Variable Contracts Representative 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

Robert J. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Bennett's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/2018

Series 7TO

Date: 7/30/2022

SIE

Date: 10/1/2018

Series 6

Date: 4/24/2014

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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