John Rowoldt has been Chief Compliance Officer of San Blas Advisory since January 2026, is a control person of the firm and directly owns under 5% of it.
San Blas Advisory, Inc. is an Atlanta, GA firm with $219M under management, 665 clients and 9 advisers across 5 offices, as of its August 2026 filing.
John Rowoldt’s longest registration was 2 years at U.S. Bancorp Investments, Inc. (2019–2021).
- SB Advisory, LLC– · 1 yearChicago, IL · Adviser representative · Firm CRD 154680
- Voya Financial Advisors, Inc.– · 1 yearGeneva, IL · Adviser representative · Firm CRD 2882
- U.S. Bancorp Investments, Inc.– · 2 yearsAlgonquin, IL · Adviser representative · Firm CRD 17868
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearRolling Meadows, IL · Adviser representative · Firm CRD 7691
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 53 | Municipal Securities Principal Examination | 8 January 2024 |
| Series 52TO | Municipal Securities Representative Examination | 27 October 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 25 September 2023 |
| Series 24 | General Securities Principal Examination | 10 October 2022 |
| Series 4 | Registered Options Principal Examination | 8 February 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 29 December 2017 |
| Series 7 | General Securities Representative Examination | 19 August 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 April 2001 |
| Series 55 | Limited Representative-Equity Trader Exam | 16 March 2001 |
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Full name
- John Burton Rowoldt
- CRD
- 2616896
- Firm
- San Blas Advisory · CRD 296929
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does John Rowoldt work?
John Rowoldt has been Chief Compliance Officer of San Blas Advisory, Inc. since January 2026, and is a control person of the firm.
Does John Rowoldt have a current investment-adviser registration?
John Rowoldt has no current investment-adviser or broker registration.
What exams has John Rowoldt passed?
John Rowoldt has passed 9 licensing exams: the Series 55, Series 63, Series 7, Series 66, Series 4, Series 24, Series 6TO, Series 52TO and Series 53. The earliest, the Series 55, was passed in March 2001. FINRA credited John Rowoldt with the SIE, which began in October 2018.
Where was John Rowoldt previously registered as an investment adviser?
John Rowoldt has past investment-adviser registrations through SB Advisory, LLC, May 2025 to October 2026; San Blas Advisory, Inc., April 2025 to October 2026; Voya Financial Advisors, Inc., September 2023 to April 2025; U.S. Bancorp Investments, Inc., January 2019 to October 2021; Merrill Lynch, Pierce, Fenner & Smith Incorporated, January 2018 to January 2019, across 5 firms.
Is John Rowoldt registered with FINRA?
No. John Rowoldt has no current broker registration.
How can I verify John Rowoldt’s record?
Search CRD 2616896 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Rowoldt’s full registration record.