Scott Dynan has been an investment adviser representative at Round Rock Advisors since September 2020, and is not listed among the firm’s executive officers or direct owners. Scott Dynan holds a BA in History from Washington and Lee University.
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.
Scott Dynan is Portfolio Manager and Private Wealth Advisor of Round Rock Advisors, based in Wilton, CT. He joined the firm in 2020 and works with high-net-worth families and individuals to develop and implement investment solutions. His areas of focus include asset allocation, risk management, and estate, tax and retirement planning.
Scott Dynan’s longest registration was 12 years at Neuberger Berman BD LLC (2006–2018). Before joining Round Rock Advisors in 2020, Scott Dynan was registered through Western International Securities and Neuberger Berman BD LLC.
- Round Rock Advisors LLCCurrent– present · 6 yearsWilton, CT · Adviser representative · Firm CRD 286007
- Western International Securities– · under a yearNew York, NY · Adviser representative · Firm CRD 39262
- Neuberger Berman BD LLC– · 12 yearsNew York, NY · Adviser representative · Firm CRD 2908
- Cam North America, LLC– · under a yearNew York, NY · Adviser representative · Firm CRD 137028
Investment adviser representative registrations
Scott Dynan is registered as an investment adviser representative in Connecticut, since September 2020.
- ConnecticutSince 3 September 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 6 June 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 24 March 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 April 1999 |
| Series 7 | General Securities Representative Examination | 11 February 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Scott Leonard Dynan
- CRD
- 3157770
- Firm
- Round Rock Advisors · CRD 286007
- Office
- 187 DANBURY ROAD, SUITE 201, Wilton, CT 06897
- Registration
- Investment adviser registration
- In the industry since
- December 1999
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- roundrockadvisors.com
Where does Scott Dynan work?
Scott Dynan is an investment adviser representative registered through Round Rock Advisors LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is Scott Dynan a financial advisor?
Yes. Scott Dynan has a current investment-adviser registration in Connecticut, through Round Rock Advisors since September 2020.
How many years of experience does Scott Dynan have?
Scott Dynan has 26 years in the financial industry, since December 1999, across 4 adviser firms.
What exams has Scott Dynan passed?
Scott Dynan has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 4. The earliest, the Series 7, was passed in February 1999. FINRA credited Scott Dynan with the SIE, which began in October 2018.
Where did Scott Dynan work before Round Rock Advisors?
Before Round Rock Advisors, Scott Dynan was registered through Western International Securities, June 2019 to June 2020; Neuberger Berman BD LLC, April 2006 to September 2018; Cam North America, LLC, March 2006 to May 2006.
Where is Scott Dynan based?
Scott Dynan’s registered office is in Wilton, CT.
Is Scott Dynan registered with FINRA?
No. Scott Dynan has no current broker registration.
How can I verify Scott Dynan’s record?
Search CRD 3157770 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Dynan’s full registration record.
