Harold J. Rood
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.
Harold John Rood was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1999. Harold had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - April 19, 2026
ROOD FINANCIAL, LLC
July 20, 2012 - February 1, 2018
INDEPENDENT FINANCIAL GROUP, LLC
July 18, 2012 - February 1, 2018
INDEPENDENT FINANCIAL GROUP, LLC
July 25, 2001 - July 26, 2012
CETERA INVESTMENT ADVISERS LLC
December 13, 1999 - July 26, 2012
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROOD FINANCIAL, LLC
CRD#: 290771 / SEC#: 801-112379
Contact information
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.
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