Ashley C. Woodard
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.
Ashley Charles Woodard was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 2003. Ashley had worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - October 28, 2020
EAGLE STRATEGIES LLC
December 21, 2017 - October 28, 2020
NYLIFE SECURITIES LLC
February 15, 2017 - November 13, 2017
SB ADVISORY, LLC
February 15, 2017 - November 13, 2017
IFS SECURITIES
September 24, 2013 - February 16, 2017
VOYA FINANCIAL ADVISORS, INC.
June 4, 2013 - February 16, 2017
VOYA FINANCIAL ADVISORS, INC.
February 23, 2012 - June 28, 2013
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
July 11, 2011 - June 28, 2013
CAPITAL INVESTMENT GROUP, INC.
January 8, 2009 - July 11, 2011
BROOKSTONE SECURITIES, INC.
February 23, 2007 - January 7, 2009
NEW ENGLAND SECURITIES
January 31, 2007 - January 7, 2009
NEW ENGLAND SECURITIES
February 27, 2006 - January 18, 2007
CUNA BROKERAGE SERVICES, INC.
February 27, 2006 - January 18, 2007
CUNA BROKERAGE SERVICES, INC.
January 23, 2006 - February 16, 2006
NEW ENGLAND SECURITIES
December 17, 2003 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 2003 - January 14, 2004
IDS LIFE INSURANCE COMPANY
October 24, 2003 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
