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Alex William Rootes

EFS Advisors

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About Alex William Rootes

Alex Rootes is a registered Investment Advisor Representative associated with EFS Advisors. Alex specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and pension and profit-sharing plans. Alex holds both Series 63 and 65 securities licenses and is licensed in Arizona, Minnesota, North Dakota, and Wisconsin. Alex has been in the industry since February 12, 2021 and is associated with the Cambridge, MN branch office of EFS Advisors. Alex previously worked as a teacher at several elementary schools and was employed by Teachers On Call, Skyhawks Sports Academy, Lowes, and St. Cloud State University.

Firm Information

Alex Rootes is currently registered with EFS Advisors. EFS Advisors is an investment advisor headquartered in Cambridge, Minnesota. With over $2 billion in assets under management, the firm provides financial planning, pension consulting, educational seminars, and portfolio management services to individuals, corporations, and institutions, including pension plans, charitable organizations, and insurance companies. EFS Advisors has over 50 licensed agents and investment advisor representatives. They offer a range of services, including portfolio management, financial planning, and pension consulting. The firm also publishes periodicals and conducts educational seminars. EFS Advisors is a registered investment advisor with the SEC.
EFS Advisors

1995 EAST RUM RIVER DRIVE S

CAMBRIDGE, MN 55008

$2.04B

Assets Under Management

Not reported

Total Clients

55

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alex Rootes’s Registration & Firm History

MN

03/11/2024 - Present

EFS Advisors (Brooklyn Park MN)

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Licenses & Designations

IA

Issued 05/07/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/04/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/13/2021

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 01/14/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alex William Rootes.
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