Walter Yale Root Ii
Professional Summary
Walter Yale Root II, who also goes by Walter Y Root, Walter Yale Root, was a registered financial advisor. Walter was a previously registered financial professional and started their career in finance 1996 - 2015. Walter had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 30, Series 27, Series 10, Series 9, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Walter Y Root, Walter Yale Root
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
STANDARD LIFE INVESTMENTS SECURITIES LLC
Contact Information
Established
Delaware since 03/02/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD LIFE INVESTMENTS (USA) LIMITED | 100% EQUITY OWNER | 118708 |
| BERTE, STEPHEN JOHN | DIRECTOR | 6813438 |
| CAMMARATA, KRISTEN MARIE | CHIEF COMPLIANCE OFFICER | 5712807 |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1905741 |
| MARSHALL, CLAIRE EMMA CATHERINE MRS | DIRECTOR | 6818060 |
| MORRIS, JEFFREY GLENN | DIRECTOR | 2190983 |
| ROBERTS, ERIC WILLIAM | EXECUTIVE REPRESENTATIVE | 4878508 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1996About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2001About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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