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Kenneth Henry Root

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Frederick, MDCRD #1788245Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
38 yrs
States Registered
29 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 29 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaHawaiiIdahoIowaMaineMarylandMassachusettsMissouriNevadaNew HampshireNew JerseyNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaTexasUtahVirginiaWashingtonWest Virginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/19/2000
Series 63
Uniform Securities Agent State Law Examination
Passed 1/27/1988
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/21/2002
Series 7
General Securities Representative Examination
Passed 1/16/1988
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 12/29/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
3/13/2009Frederick, MD
RBC CAPITAL MARKETS, LLCCurrent
3/13/2009Ijamsville, MD
FERRIS, BAKER WATTS, LLC
3/8/20013/13/2009Frederick, MD

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kenneth Henry Root has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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