David RootCRD Number: 1270361
Current Firm: Db Root & Company, Inc.
David Root (CRD# 1270361) is an Investment Advisor Representative working at Db Root & Company, Inc. in Pittsburgh, PA and has over 32 years of experience in the finance industry. David Root has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
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|Db Root & Company, Inc.||Pittsburgh, PA||Oct 2015 - Current||1|
|Purshe Kaplan Sterling Investments||Albany, NY||Oct 2015 - Current||1|
|D.b. Root & Company||Pittsburgh, PA||May 1994 - Oct 2015||21|
|Commonwealth Equity Services, Inc.||Pgh, PA||Oct 1997 - Sep 2015||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1985|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management310MILLIONS
Total Number of Accounts2,011ACCOUNTS
Average Account Value$153,915
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
CA, FL, MD, MI, NE, NH, NJ, NY, OH, PA, SC, TX, VA, WV