Robert A. Weinstein

ROUND ROCK ADVISORS LLC

Wilton, CT 06897

Some features on this profile are disabled

CRD#: 723699

Professional summary

Robert Alan Weinstein, CFP®, who also goes by Bob Alan Weinstein, 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 1981. Robert has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Alan Weinstein

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) ROBERT A. WEINSTEIN, CPA; NOT INVESTMENT RELATED; Harrison, NY; CPA Practice: Sole proprietor; Start Date 01/01/2001; 160 HOURS PER MONTH 5 DURING TRADING HOURS; TAX PREP AND ACCOUNTING SERVICES. (2) Insurance Sales; same address; Non-investment related; Approximately 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Weinstein'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

Experience

Current

February 23, 2022 - Present

ROUND ROCK ADVISORS LLC

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

RIA

CRD#: 286007

Wilton, CT

Past

May 4, 2021 - December 31, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HARRISON, NY

Past

September 20, 2019 - December 31, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HARRISON, NY

Past

September 1, 2016 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

HARRISON, NY

Past

September 1, 2016 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

HARRISON, NY

Past

April 8, 2014 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

HARRISON, NY

Past

October 23, 1985 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

HARRISON, NY

Past

October 8, 1985 - November 11, 1985

O. R. SECURITIES, INC.

CRD#: 10216

Past

July 6, 1983 - October 8, 1985

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

July 8, 1981 - July 5, 1983

CORNERSTONE FINANCIAL SERVICES, INC.

CRD#: 953

Past

March 6, 1981 - August 3, 1981

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

February 18, 1981 - April 6, 1981

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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
(2/23/2022)

IAR

New York
(12/8/2025)

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: 6/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/13/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/1987

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert A. Weinstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Weinstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

O. R. SECURITIES, INC.

WZW FINANCIAL SERVICES, INC.

CORNERSTONE FINANCIAL SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ROUND ROCK ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1986

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1982

Series 6

Date: 2/13/1981

Series 24

Date: 12/30/1987

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

Similar Advisors