Unclaimed Profile

Harold John Rood

ROOD FINANCIAL, LLC·WOODLAND HILLS, California

SIE, Series 7, Series 63, Series 65Clean record25 years registeredROOD FINANCIAL, LLC

21550 OXNARD ST., WOODLAND HILLS, CA 91367CRD# 4011383Firm CRD# 290771

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Harold John Rood · WOODLAND HILLS, CA

Registration

CRD #4011383 · ROOD FINANCIAL, LLC · 25 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ROOD FINANCIAL, LLC

ROOD FINANCIAL, LLC

Feb 2018 – Apr 2026

Los Angeles, CA

INDEPENDENT FINANCIAL GROUP, LLC

Jul 2012 – Feb 2018

SAN DIEGO, CA

GENWORTH FINANCIAL ADVISERS CORPORATION

Jul 2001 – Jul 2012

ENCINO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · July 25, 2001

Years registered · 25

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ROOD FINANCIAL, LLC

CRD 290771 · SEC 801-112379

AUM

$34M

Regulatory assets under management

Employees

98 client accounts

Services offered by ROOD FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ROOD FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Harold John Rood offer?

Harold John Rood specializes in Financial Planning, Investment Management.

What are Harold John Rood's credentials?

Harold John Rood is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Harold John Rood located?

Harold John Rood is based in WOODLAND HILLS, California, last registered with ROOD FINANCIAL, LLC.

How does Harold John Rood charge for services?

Harold John Rood's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ROOD FINANCIAL, LLC?

ROOD FINANCIAL, LLC has approximately 2 employees and manages $34M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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