Carlos Woodruff, financial advisor Orlando FL
96 score

Carlos Woodruff

CRD Number: 5488191
Current Firm: Horter Investment Management, LLC

Carlos Woodruff (CRD# 5488191) is an Investment Advisor Representative working at Horter Investment Management, LLC in Orlando, FL and has over 8 years of experience in the finance industry. Carlos Woodruff has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Horter Investment Management, LLC Cincinnati, OH Feb 2013 - Current 3
Stepping Stone Financial Services Apopka, FL Sep 1998 - Current 18
Gradient Advisors, LLC Shoreview, MN Feb 2012 - Dec 2012 < 1
Brokers International Financial Services Panora, IA May 2010 - Oct 2011 1
Principal Life Insurance Company Maitland, FL Apr 2009 - Mar 2010 < 1
Princor Financial Services Corporation Maitland, FL Apr 2009 - Mar 2010 < 1
Carlos Woodruff Apopka, FL Mar 1997 - Apr 2009 12
Valic/aig Retirement Advisors Orlando, FL Feb 2008 - Mar 2009 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2008
Contact Info for Carlos R. Woodruff
Phone Number: 513-984-9933
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    1,016
    MILLIONS
  • Total Number of Accounts
    13,925
    ACCOUNTS
  • Average Account Value
    $72,992
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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