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DR

David A. Root

Some features on this profile are disabled
CRD#: 1176199
DR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Alden Root was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 18, 2011 - January 4, 2016

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

July 26, 2002 - March 31, 2006

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
BOSTON, MA
Past

November 9, 2000 - March 31, 2006

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

August 19, 1997 - March 31, 2006

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY
Past

October 4, 1995 - July 31, 1997

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

January 22, 1993 - September 20, 1995

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 15, 1987 - January 22, 1993

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

August 24, 1983 - January 21, 1985

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/16/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/2004
General Securities Principal Examination

Current Firm

PB
PORTFOLIO BROKERAGE SERVICES, INC.
PMC, INC. | PORTFOLIO MANAGEMENT CONSULTANTS, LTD. | PORTFOLIO MANAGEMENT CONSULTANTS, INC. | PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554 / SEC#: , 8-36915

BD
Withdrawn by SEC on 02/25/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 05/06/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PMC INTERNATIONAL, INC.PARENT COMPANY
LUGOWSKI, MICHAEL GIORDANOCHIEF COMPLIANCE OFFICER5132003

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

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