Kevin C. Root

OAK ROOT LLC

Santa Barbara, CA

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CRD#: 5553574

Professional summary

Kevin Charles Root, who also goes by Kevin C Root, is a registered financial advisor currently at OAK ROOT LLC located in Santa Barbara, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Kevin has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin C 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.

BOARD OF DIRECTOR FOR BRANDLE INC. THAT IS NOT FINANCIALLY RELATED AND TAKES LESS THAN 1% OF HIS TIME AND NOT DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Charles 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

June 29, 2015 - Present

OAK ROOT LLC

RIA

CRD#: 246788

Santa Barbara, CA

Past

February 4, 2013 - February 9, 2017

MARIN FINANCIAL ADVISORS LLC

RIA

CRD#: 135872

LARKSPUR, CA

Past

April 27, 2010 - December 14, 2012

CLASSIC CAPITAL, INC.

RIA

CRD#: 108569

SHORT HILLS, NJ

Past

September 22, 2008 - February 12, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 12, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OAK ROOT LLC

CRD#: 246788 / SEC#: 801-100400

RIA

Registered Investment Advisory firm - (6/24/2015 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/29/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/19/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/11/2008

General Securities Representative Examination

Current Firm

OAK ROOT LLC

CRD#: 246788 / SEC#: 801-100400

RIA

Registered Investment Advisory firm - (6/24/2015 Approved)

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Contact information

Main Address

Santa Barbara, CA

Mailing Address

Phone number

(805) 395-9767

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-OAK ROOT LLC (3/19/2025)

ADV PART 2B-ROOT (3/19/2025)

Regulatory assets under management

Total Number of Accounts	101
AUM (Assets Under Management)	$ 813,000,000

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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Firm Stability Insights

Kevin C. Root

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Charles Root's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARIN FINANCIAL ADVISORS LLC

CLASSIC CAPITAL, INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

OAK ROOT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2010

Series 63

Date: 1/7/2009

Series 7

Date: 9/11/2008

Current Firm

OAK ROOT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK ROOT LLC

TRUST BUT VERIFY

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