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DW

Dorothy G. Wood

Some features on this profile are disabled
CRD#: 1920524
DW

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.

Dorothy Germany Wood, who also goes by Dorothy G Hudson, Dorothy Germany Hudson, Dorthy Germany Wood, was a registered financial professional .

Dorothy is a previously registered financial professional and started their career in finance in 1989. Dorothy had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dorothy G Hudson | Dorothy Germany Hudson | Dorthy Germany Wood

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 19, 2009 - December 31, 2016

FROST INVESTMENT ADVISORS, LLC

RIA
CRD#: 146148
SAN ANTONIO, TX
Past

February 5, 1996 - January 23, 2009

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
SAN ANTONIO, TX
Past

January 27, 1994 - May 8, 1995

SWBC INVESTMENT COMPANY

BD
CRD#: 28861
Past

January 14, 1992 - August 27, 1993

SWBC INVESTMENT COMPANY

BD
CRD#: 28861
Past

November 27, 1989 - January 20, 1992

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

August 1, 1989 - November 15, 1989

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 8, 1989 - August 1, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

February 8, 1989 - August 1, 1989

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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".
FI
FROST INVESTMENT ADVISORS, LLC
FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY

CRD#: 146148 / SEC#: 801-68724

RIA
Registered Investment Advisory firm - (1/25/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FI
FROST INVESTMENT ADVISORS, LLC
FROST INVESTMENT ADVISORS, LLC | FROST WEALTH MANAGEMENT SERVICES | FROST INVESTMENT MANAGEMENT COMPANY

CRD#: 146148 / SEC#: 801-68724

RIA
Registered Investment Advisory firm - (1/25/2008 Approved)
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Contact information

Main Address
111 West Houston Street 10th Floor, San Antonio, TX 78205
Mailing Address
Post Office Box 2509, San Antonio, TX 78299-2509
Phone number
(210) 220-5070
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts10
AUM (Assets Under Management)$ 5,435,683,122

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2024
Cover Page
Report
11/09/2023
Cover Page
Report
12/09/2022
Cover Page
Report

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.

Company Information

FROST INVESTMENT ADVISORS, LLC

CRD#: 146148

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