Adam J. 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.
Adam Jon Root, who also goes by Adam Root, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2005. Adam had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - November 16, 2018
BLUEFIN CAPITAL MANAGEMENT, LLC
May 26, 2009 - February 26, 2016
GUGGENHEIM SECURITIES, LLC
September 22, 2008 - May 26, 2009
BARCLAYS CAPITAL INC.
September 1, 2005 - September 22, 2008
LEHMAN BROTHERS 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
BLUEFIN CAPITAL MANAGEMENT, LLC
CRD#: 113892 / SEC#: , 8-53382
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
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.
