William R. Woodard

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CRD#: 1222569

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.

William Roche Woodard was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 12, 2006 - March 2, 2015

STEPHENSON AND COMPANY, INC.

RIA

CRD#: 111453

SAN CLEMENTE, CA

Past

September 11, 2006 - November 15, 2010

REGENCY SECURITIES, INC.

CRD#: 7846

HUNTINGTON BEACH, CA

Past

November 19, 1989 - September 7, 2006

OSAIC WEALTH, INC.

CRD#: 23131

HUNTINGTON BEACH, CA

Past

July 16, 1985 - December 13, 1990

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

December 22, 1983 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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".

STEPHENSON AND COMPANY, INC.

BRADLEY STEPHENSON | STEPHENSON AND COMPANY, INC. | STEPHENSON AND COMPANY

CRD#: 111453 / SEC#: 801-117128

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (9/4/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Current Firm

STEPHENSON AND COMPANY, INC.

BRADLEY STEPHENSON | STEPHENSON AND COMPANY, INC. | STEPHENSON AND COMPANY

CRD#: 111453 / SEC#: 801-117128

RIA

Registered Investment Advisory firm - (8/2/2019 Approved)

California

Registered Investment Advisory firm - (9/4/2019 Terminated)

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Contact information

Main Address

241 Avenida Del Mar, San Clemente, CA 92672

Mailing Address

Phone number

(949) 727-4255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPHENSON AND COMPANY, INC. ADV BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	543
AUM (Assets Under Management)	$ 311,784,935

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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William R. Woodard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEPHENSON AND COMPANY, INC.

REGENCY SECURITIES, INC.

OSAIC WEALTH, INC.

HORNOR, TOWNSEND & KENT, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

STEPHENSON AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 12/17/1983

Current Firm

STEPHENSON AND COMPANY, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEPHENSON AND COMPANY, INC.

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