Susan Richards, financial advisor New Canaan CT
96 score

Susan Richards

CRD Number: 1057936
Current Firm: Round Rock Advisors LLC

Susan Richards (CRD# 1057936) is an Investment Advisor Representative working at Round Rock Advisors LLC in New Canaan, CT and has over 30 years of experience in the finance industry. Susan Richards has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Round Rock Advisors LLC New Canaan, CT Apr 2017 - Current 1
Girl Scouts Of Westchester,a Valhalla, NY Jan 1982 - Current 36
Ameriprise Financial Services, Inc. Granite Springs, NY Apr 2013 - Apr 2017 4
American Express Financial Advisors Inc. Harrison, NY Sep 1982 - Apr 2013 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1987
S65 NASAA Investment Advisors Law Examination Mar 1993
Contact Info for Susan L. Richards
Phone Number: (203) 920-4774
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    121
    MILLIONS
  • Total Number of Accounts
    1,247
    ACCOUNTS
  • Average Account Value
    $97,131
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

CT, NY

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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