Roderick Paul Wood | Financial Professional

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.

Roderick Paul Wood, who also goes by R. Paul Wood, Rocky Wood, was a registered financial professional .

Roderick is a previously registered financial professional and started their career in finance in 1995. Roderick had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

R. Paul Wood | Rocky 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

April 21, 2010 - August 3, 2020

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Gaithersburg, MD

Past

November 9, 2006 - November 23, 2009

CALDWELL INTERNATIONAL SECURITIES

BD

CRD#: 104323

NASSAU,

Past

February 6, 1998 - November 14, 2006

PRINCIPAL SECURITIES, INC.

BD

CRD#: 1137

GAITHERSBURG, MD

Past

February 12, 1997 - January 8, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD

CRD#: 2881

MILWAUKEE, WI

Past

January 30, 1997 - January 8, 1998

ROBERT W. BAIRD & CO. INCORPORATED

BD

CRD#: 8158

MILWAUKEE, WI

Past

March 29, 1995 - October 10, 1996

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

March 29, 1995 - October 10, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

MINNEAPOLIS, MN

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".

HI

HORTER INVESTMENT MANAGEMENT, LLC

CRD#: 119880 / SEC#: 801-67471

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

California

Registered Investment Advisory firm - (1/31/2007 Terminated)

Delaware

Registered Investment Advisory firm - (4/23/2007 Terminated)

Ohio

Registered Investment Advisory firm - (1/31/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/4/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 3/28/1995

General Securities Representative Examination

Current Firm

HI

HORTER INVESTMENT MANAGEMENT, LLC

CRD#: 119880 / SEC#: 801-67471

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

California

Registered Investment Advisory firm - (1/31/2007 Terminated)

Delaware

Registered Investment Advisory firm - (4/23/2007 Terminated)

Ohio

Registered Investment Advisory firm - (1/31/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249

Mailing Address

Phone number

(513) 984-9933

Established

Firm type

Fiscal year end

# of Employees

41

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIM ADV PART 2A_2024 (11/7/2025)

Regulatory assets under management

Total Number of Accounts	2,136
AUM (Assets Under Management)	$ 277,989,460

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.

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Advisor Monitoring

Firm Stability Insights

Roderick P. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CALDWELL INTERNATIONAL SECURITIES

PRINCIPAL SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2010

Series 63

Date: 4/4/1995

Series 7

Date: 3/28/1995

Current Firm

HORTER INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORTER INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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