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DR

David L. Root

LINDEN THOMAS AND COMPANY SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 5096994
DR

Professional summary

David Lee Root, who also goes by David L Root, David Root, David Lee Root, is a registered financial professional currently at LINDEN THOMAS AND COMPANY SECURITIES, LLC located in Charlotte, North Carolina.

David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David L Root | David Root | David Lee 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 David Lee 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

March 27, 2026 - Present

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Office #1: 516 N Tryon Street, Charlotte, NC 28202
BD
CRD#: 290244
CHARLOTTE, NC
Past

September 24, 2019 - November 23, 2022

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

October 5, 2012 - June 7, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

June 25, 2010 - June 7, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

February 28, 2006 - June 8, 2006

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
WOODBRIDGE, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/27/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/27/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/16/2012
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

LT
LINDEN THOMAS AND COMPANY SECURITIES, LLC
LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Contact information

Main Address
516 N. Tryon Street, Charlotte, NC 28202
Mailing Address
516 N. Tryon Street, Charlotte, NC 28202
Phone number
(704) 554-8150
Established
North Carolina since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINDEN THOMAS AND COMPANY, LLCMEMBER
HUNT, DAVID LEEFINOP2772872
SMITH, DAVID LEONCCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL2246779
THOMAS, STEPHEN LINDENMANAGING PRINCIPAL1789031

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.

Company Information

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244Charlotte, NC 28202

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