Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Root is a financial professional with over 15 years of experience in the industry. David is currently registered with Fidelity Distributors Co. LLC and holds the Series 7, Series 63, and SIE licenses. David has previously worked with RAFFERTY CAPITAL MARKETS, LLC, TD AMERITRADE, INC., JOHN HANCOCK FUNDS, LLC, PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP, and AMERICAN EXPRESS FINANCIAL ADVISORS INC.. David is registered in 52 states for Broker-Dealer activities.
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.
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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2
RI
07/11/2018 - Present
Fidelity Distributors Co. LLC (SMITHFIELD RI)
NY
01/30/2009 - 07/15/2011
RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)
MA
01/16/2009 - 01/28/2009
TD AMERITRADE, INC. (BOSTON MA)
MA
06/22/2006 - 10/30/2008
JOHN HANCOCK FUNDS, LLC (BOSTON MA)
MA
05/09/2005 - 05/30/2006
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)
MN
03/05/2004 - 04/13/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/05/2004 - 04/13/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 07/27/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/14/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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