Andrew E. 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.
Andrew Edward Root was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1979. Andrew had worked at 4 firms and has passed the Series 65, Series 63 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
March 24, 2003 - July 18, 2013
COBURN & MEREDITH, INC.
March 3, 2003 - July 18, 2013
COBURN & MEREDITH, INC.
September 6, 2002 - March 11, 2003
QUICK & REILLY, INC.
May 25, 1983 - March 11, 2003
QUICK & REILLY, INC.
January 14, 1980 - May 13, 1983
ADVEST, INC.
September 19, 1979 - January 31, 1980
SECURITY INVESTMENT SERVICES CORP.
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
COBURN & MEREDITH, INC.
CRD#: 164 / SEC#: 801-69509, 8-2474
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DERWAY, ELIZABETH COBURN | CHIEF COMPLIANCE OFFICER, FINOP, SECRETARY,SHAREHOLDER | 1873991 |
Disclosures
| Regulatory Event | 11 |
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.
