Wayne S. Woodman

THE INVESTMENT HOUSE LLC

Las Vegas, NV

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CRD#: 1019889

Professional summary

Wayne Scott Woodman is a registered financial advisor currently at THE INVESTMENT HOUSE LLC located in Las Vegas, Nevada.

Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Wayne has worked at 8 firms and has passed the Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Scott Woodman's CRS (Customer Relationship Summary).

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

November 6, 2012 - Present

THE INVESTMENT HOUSE LLC

RIA

CRD#: 163493

Las Vegas, NV

Past

September 24, 2009 - May 23, 2012

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 128013

LOS ANGELES, CA

Past

August 7, 2003 - August 10, 2009

GKM ADVISERS, LLC

RIA

CRD#: 127774

ALLENTOWN, PA

Past

July 7, 2003 - December 13, 2010

SAMUELS CHASE & CO., INC.

CRD#: 36699

SANTA YSABEL, CA

Past

April 19, 2002 - August 13, 2003

GKM ADVISERS INC.

RIA

CRD#: 108699

LOS ANGELES, CA

Past

March 26, 2002 - July 7, 2003

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

December 4, 2001 - March 22, 2002

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

July 18, 1983 - March 15, 2002

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

January 19, 1982 - August 18, 1982

M.L. STERN & CO., LLC.

CRD#: 8327

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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
(11/6/2012)

IAR

Nevada
(3/14/2019)

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

Series 63

Date: 10/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/1989

General Securities Principal Examination

Current Firm

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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Contact information

Main Address

210 Avenue I Ste C, Redondo Beach, CA 90277

Mailing Address

5940 S. Rainbow Blvd Suite 400 Pmb 57150, Las Vegas, NV 89118-2507

Phone number

(310) 873-3021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	556
AUM (Assets Under Management)	$ 1,951,065,000

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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Wayne S. Woodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Scott Woodman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

GKM ADVISERS, LLC

SAMUELS CHASE & CO., INC.

GKM ADVISERS INC.

BMO CAPITAL MARKETS CORP.

TRANSAMERICA INVESTORS SECURITIES, LLC

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

THE INVESTMENT HOUSE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1984

Series 7

Date: 11/21/1981

Series 24

Date: 2/16/1989

Current Firm

THE INVESTMENT HOUSE LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INVESTMENT HOUSE LLC

TRUST BUT VERIFY

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