Steven M. Root

ALLSTATE FINANCIAL SERVICES

Baton Rouge, LA 70806-7914

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CRD#: 2522790

Professional summary

Steven Mark Root, who also goes by Steve Root, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Baton Rouge, Louisiana.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 4 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Root

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 Steven Mark 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

July 25, 2006 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 8676 Goodwood Blvd Ste 303, Baton Rouge, LA 70806-7914

CRD#: 18272

Baton Rouge, LA

Past

January 22, 2001 - October 26, 2004

LIBERTY LIFE SECURITIES LLC

CRD#: 47737

DOVER, NH

Past

August 25, 1994 - February 28, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

August 25, 1994 - February 28, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

Louisiana
(7/25/2006)

Mississippi
(4/29/2021)

Texas
(8/20/2025)

Exams

State Security Law Exam

Series 63

Date: 6/6/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/19/2001

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 10/27/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/5/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508-1380

Mailing Address

Po Box 83271, Lincoln, NE 68501-3271

Phone number

(877) 232-2142

Established

Delaware since 11/01/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLSTATE INSURANCE COMPANY	OWNER
BOUDREAU, JOHN DOUGLAS	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE	6357880
DELANEY, SCOTT SULLIVAN	PRESIDENT AND CHIEF EXECUTIVE OFFICER	2978681
LANSPA, PAUL DONALD	CHIEF OPERATING OFFICER	6449159
MUELLER, DAVID JOHN	GENERAL COUNSEL AND SECRETARY	7807045
NELSON, MARY KRIS	CHAIRMAN OF THE BOARD	2464654
SWEENEY, MICHAEL DANIEL	AML OFFICER	2026113
WHITCOMB, MICHAEL JAMES	FINOP	7495756

Disclosures

Regulatory Event	4
Arbitration	1

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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Advisor Monitoring

Firm Stability Insights

Steven M. Root

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Mark Root's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY LIFE SECURITIES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/2003

SIE

Date: 10/1/2018

Series 6

Date: 1/19/2001

Series 7

Date: 8/24/1994

Series 51

Date: 10/27/2006

Series 26

Date: 4/5/2003

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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