Kenneth Henry Root

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-01-11
DE	RA	APPROVED	2018-08-10
MD	RA	APPROVED	2009-03-13

TX RA
APPROVED_RES

Since 2021-01-11
DE RA
APPROVED

Since 2018-08-10
MD RA
APPROVED

Since 2009-03-13

Branch Locations

150 South East Street Suite 300, Frederick, MD 21701-4827 • United States

South Bethany, DE • United States

Ijamsville, MD • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	Frederick	MD	03/2009	Present

03/2009 → Present

Rbc Capital Markets Corporation

Frederick, MD

Previous Registrations

2001-03-08 → 2009-03-13

Ferris, Baker Watts, Llc

Cleveland, OH

Frederick, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-09-19
S63	Uniform Securities Agent State Law Examination	1988-01-27

S65 Uniform Investment Adviser Law Examination

2000-09-19
S63 Uniform Securities Agent State Law Examination

1988-01-27

Other Names

Ken Root

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews