Harold J. Rood

ROOD FINANCIAL

Los Angeles, CA 90067

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CRD#: 4011383

Professional summary

Harold John Rood is a registered financial advisor currently at ROOD FINANCIAL, LLC located in Los Angeles, California.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Harold has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Aprio Advisory Group, LLC Not investment-related 21800 Oxnard Street, Suite 900 Woodland Hills, CA 91367 Tax and accounting services Strategic Consultant November 2024 - Present 8 hours per month Maximum of 5% of securities trading hours Harold John Rood provides strategic consulting services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold John Rood's CRS (Customer Relationship Summary).

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

Current

February 2, 2018 - Present

ROOD FINANCIAL, LLC

Office #1: 2121 Avenue Of The Stars Suite 800, Los Angeles, CA 90067

RIA

CRD#: 290771

Los Angeles, CA

Past

July 20, 2012 - February 1, 2018

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

July 18, 2012 - February 1, 2018

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

July 25, 2001 - July 26, 2012

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ENCINO, CA

Past

December 13, 1999 - July 26, 2012

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ENCINO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/2/2018)

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: 12/14/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/1999

General Securities Representative Examination

Current Firm

ROOD FINANCIAL, LLC

CRD#: 290771 / SEC#: 801-112379

RIA

Registered Investment Advisory firm - (8/21/2018 Terminated)

California

Registered Investment Advisory firm - (6/5/2018 Approved)

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

2121 Avenue Of The Stars Suite 800, Los Angeles, CA 90067

Mailing Address

Phone number

(818) 325-3903

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	134
AUM (Assets Under Management)	$ 61,422,652

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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Harold J. Rood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold John Rood's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOD FINANCIAL, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2000

Series 63

Date: 12/21/1999

SIE

Date: 2/1/2018

Series 7

Date: 12/10/1999

Current Firm

ROOD FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROOD FINANCIAL, LLC

TRUST BUT VERIFY

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