Horacio John Woolcott
Professional Summary
Horacio John Woolcott, who also goes by Jack Woolcott, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Franklin, Tennessee and WESTMINSTER FINANCIAL SECURITIES, INC. located in Franklin, Tennessee. Horacio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Horacio has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jack Woolcott
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
5 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH AND COMPNAY | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
Contact Information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440Phone Number
(937) 898-5010# of Employees
43SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,337AUM (Assets Under Management)
$1,361,688,522Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/11/2025 | Cover Page | Report |
| 11/14/2024 | Cover Page | Report |
| 02/26/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH AND COMPNAY | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
State Registrations and Notice Filings
(7/27/2026)
(7/27/2026)
(7/27/2026)
(7/31/2026)
(7/28/2026)
(7/28/2026)
(7/27/2026)
(7/27/2026)
(7/27/2026)
(7/28/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Horacio John Woolcott's CRS (Customer Relationship Summary).
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