Walter Y. Root
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.
Walter Yale Root II, who also goes by Walter Y Root, Walter Yale Root, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2013 - July 10, 2015
STANDARD LIFE INVESTMENTS SECURITIES LLC
September 22, 2010 - March 28, 2013
OLD MUTUAL INVESTMENT PARTNERS
March 11, 2009 - July 27, 2010
SKANDIA SECURITIES AMERICAS, INC.
May 1, 2008 - January 26, 2009
UST SECURITIES CORP.
August 20, 2005 - May 1, 2008
BOFA DISTRIBUTORS, INC.
May 31, 2005 - May 1, 2008
BOFA ADVISORS, LLC
May 27, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
October 20, 2004 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - June 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 1, 2004 - October 20, 2004
QUICK & REILLY, INC.
December 4, 2000 - October 20, 2004
QUICK & REILLY, INC.
June 11, 1999 - August 8, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1997 - March 8, 1999
NATIONAL CLEARING CORP.
August 7, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 7, 1996 - June 27, 1997
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STANDARD LIFE INVESTMENTS SECURITIES LLC
CRD#: 157233 / SEC#: , 8-68839
Contact information
Documents
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 |
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.
