Bradley B. Root

BROOKWOOD SECURITIES PARTNERS

Beverly, MA 01915

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CRD#: 2185648

Professional summary

Bradley Brian Root is a registered financial professional currently at BROOKWOOD SECURITIES PARTNERS, LLC located in Beverly, Massachusetts.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 1991. Bradley has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Bradley Brian Root's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 4, 2017 - Present

BROOKWOOD SECURITIES PARTNERS, LLC

Office #1: 138 Conant Street, Beverly, MA 01915Office #2: 138 Conant Street, Beverly, MA 01915

CRD#: 35187

Beverly, MA

Past

October 22, 1997 - May 20, 2003

BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187

BEVERLY, MA

Past

September 8, 1995 - October 8, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 14, 1994 - July 31, 1995

BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187

BEVERLY, MA

Past

July 12, 1993 - April 11, 1994

TALLWOOD ASSOCIATES, INC.

CRD#: 26527

Past

November 13, 1991 - May 4, 1993

WINTHROP SECURITIES CO., INC.

CRD#: 6925

BOSTON, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/5/2017)

Connecticut
(6/5/2017)

District of Columbia
(5/4/2017)

Florida
(5/4/2017)

Georgia
(6/5/2017)

Illinois
(6/5/2017)

Indiana
(5/10/2023)

Iowa
(5/10/2023)

Kansas
(5/10/2023)

Kentucky
(8/18/2017)

Maryland
(5/4/2017)

Massachusetts
(6/2/2017)

Michigan
(6/2/2017)

Minnesota
(5/10/2023)

Missouri
(5/10/2023)

New Jersey
(8/18/2017)

New York
(6/5/2017)

North Carolina
(9/19/2022)

Ohio
(5/4/2017)

Pennsylvania
(6/2/2017)

Tennessee
(8/19/2022)

Texas
(6/5/2017)

Virginia
(6/2/2017)

Exams

State Security Law Exam

Series 63

Date: 6/2/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/9/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2017

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/11/1991

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

BROOKWOOD SECURITIES PARTNERS, LLC

BROOKWOOD SECURITIES PARTNERS, L.P. | BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187 / SEC#: , 8-46627

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

138 Conant Street, Beverly, MA 01915

Mailing Address

138 Conant Street, Beverly, MA 01915

Phone number

(978) 720-7500

Established

Delaware since 05/17/1993

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BROOKWOOD FINANCIAL PARTNERS, LLC	SOLE MEMBER
AYLES, ERICKA LEIGH	FINOP	6530897
STROUSS, MARCIA GREILICH	CHIEF COMPLIANCE OFFICER	1365779
TRKLA, THOMAS NICHOLAS	CHAIRMAN, CHIEF EXECUTIVE OFFICER	1238366

Disclosures

Regulatory Event

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.

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Bradley B. Root

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Brian Root's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKWOOD SECURITIES PARTNERS, LLC

WALNUT STREET SECURITIES, INC.

BROOKWOOD SECURITIES PARTNERS, LLC

TALLWOOD ASSOCIATES, INC.

WINTHROP SECURITIES CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/2017

Series 65

Date: 10/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2017

Series 22

Date: 11/11/1991

FINRA

Current Firm

BROOKWOOD SECURITIES PARTNERS, LLC

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BROOKWOOD SECURITIES PARTNERS, LLC

TRUST BUT VERIFY

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