Unclaimed Profile

Dixon Place Downey

ROUND ROCK ADVISORS LLC·NEW CANAAN, Connecticut

SIE, Series 6, Series 7, Series 63, Series 65, Series 66CFPClean record26 years registeredROUND ROCK ADVISORS LLC

65 LOCUST AVENUE, NEW CANAAN, CT 06840CRD# 2817768Firm CRD# 286007

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Dixon Place Downey · NEW CANAAN, CT

Registration

CRD #2817768 · ROUND ROCK ADVISORS LLC · 26 years registered

Brand Profile

Not yet started

Career History

SOUND INCOME STRATEGIES, LLC

Jul 2024 – present

PRIME CAPITAL INVESTMENT ADVISORS, LLC

Oct 2023 – Feb 2024

WILTON, CT

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Mar 2021 – Oct 2023

Danbury, CT

REBY ADVISORS, LLC

Jan 2019 – Mar 2021

DANBURY, CT

ROUND ROCK ADVISORS LLC

Apr 2017 – Dec 2018

NEW CANAAN, CT

AMERIPRISE FINANCIAL SERVICES, INC.

Sep 2012 – Apr 2017

NEW CANAAN, CT

EDWARD JONES

Mar 2012 – Aug 2012

NEWTOWN, CT

AMERIVEST INVESTMENT MANAGEMENT, LLC

Apr 2010 – May 2011

STAMFORD, CT

TD AMERITRADE, INC.

Apr 2010 – May 2011

STAMFORD, CT

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Mar 2000 – Jun 2006

STAMFORD, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 65

Series 66

Registration record

First registered · March 1, 2000

Years registered · 26

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ROUND ROCK ADVISORS LLC

CRD 286007 · SEC 801-108989

AUM

$673M

Regulatory assets under management

Employees

1,816 client accounts

Services offered by ROUND ROCK ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ROUND ROCK ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Dixon Place Downey offer?

Dixon Place Downey specializes in Financial Planning, Investment Management. Contact their office in NEW CANAAN, Connecticut for a consultation.

What are Dixon Place Downey's credentials?

Dixon Place Downey holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Dixon Place Downey located?

Dixon Place Downey is based in NEW CANAAN, Connecticut, working with ROUND ROCK ADVISORS LLC. Their office serves clients in the NEW CANAAN metropolitan area and surrounding communities.

How does Dixon Place Downey charge for services?

Dixon Place Downey's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROUND ROCK ADVISORS LLC?

ROUND ROCK ADVISORS LLC has approximately 19 employees and manages $673M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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