John Planell has been an investment adviser representative at Round Rock Advisors since April 2017, and is not listed among the firm’s executive officers or direct owners. John Planell holds a Master's in Mechanical Engineering from Rensselaer Polytechnic Institute and a BS from the University of New Hampshire.
Round Rock Advisors LLC is a Wilton, CT firm with $907M under management, 647 clients and 12 advisers across 2 offices, as of its June 2026 filing.
John Planell is Private Wealth Advisor of Round Rock Advisors, based in Wilton, CT. He has over 40 years of experience as a financial advisor, started his financial services career in financial planning with Ameriprise Financial Services, and co-founded Round Rock Advisors, LLC in 2017. He specializes in tax and estate planning strategies, retirement income planning and wealth preservation strategies.
John Planell’s longest registration was 10 years at Ameriprise Financial Services, Inc. (2006–2017). Before joining Round Rock Advisors in 2017, John Planell was registered through Ameriprise Financial Services, Inc.
- Round Rock Advisors LLCCurrent– present · 9 yearsWilton, CT · Adviser representative · Firm CRD 286007
- Ameriprise Financial Services, Inc.– · 10 yearsPound Ridge, NY · Adviser representative · Firm CRD 6363
Professional designations
Listed by Round Rock Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
John Planell is registered as an investment adviser representative in Connecticut, since April 2017.
- ConnecticutSince 21 April 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 December 1985 |
| Series 22 | Direct Participation Programs Representative Examination | 26 February 1985 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 January 1985 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 January 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Robert Planell
- CRD
- 1333455
- Firm
- Round Rock Advisors · CRD 286007
- Office
- 187 DANBURY ROAD, SUITE 201, Wilton, CT 06897
- Registration
- Investment adviser registration
- In the industry since
- January 1985
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- roundrockadvisors.com
Where does John Planell work?
John Planell is an investment adviser representative registered through Round Rock Advisors LLC since April 2017, and is not listed among the firm’s executive officers or direct owners.
Is John Planell a financial advisor?
Yes. John Planell has a current investment-adviser registration in Connecticut, through Round Rock Advisors since April 2017.
How many years of experience does John Planell have?
John Planell has 41 years in the financial industry, since January 1985, across 2 adviser firms.
What exams has John Planell passed?
John Planell has passed 4 licensing exams: the Series 63, Series 6, Series 22 and Series 7. The earliest, the Series 63, was passed in January 1985. FINRA credited John Planell with the SIE, which began in October 2018.
Where is John Planell based?
John Planell’s registered office is in Wilton, CT.
Is John Planell registered with FINRA?
No. John Planell has no current broker registration.
Is John Planell a CFP?
Round Rock Advisors lists John Planell with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify John Planell’s record?
Search CRD 1333455 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Planell’s full registration record.
