Thomas D. Woodward
Professional summary
Thomas Dorsey Woodward, CIMA® is a registered financial advisor currently at WOODWARD DIVERSIFIED CAPITAL, LLC located in Bakersfield, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Dorsey Woodward's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2020 - Present
WOODWARD DIVERSIFIED CAPITAL, LLC
Office #1: 5401 Business Park South #217, Bakersfield, CA 93309January 3, 2011 - March 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 17, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 13, 2004 - April 20, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 2004 - April 20, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 8, 1997 - February 25, 2004
MORGAN STANLEY DW INC.
February 24, 1978 - February 25, 2004
MORGAN STANLEY DW INC.
December 20, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 7, 1977 - January 10, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
November 5, 1976 - January 7, 1977
DREXEL BURNHAM & CO. INCORPORATED
December 13, 1973 - November 4, 1976
WHITE, WELD & CO. INCORPORATED
September 1, 1972 - October 21, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
WOODWARD DIVERSIFIED CAPITAL, LLC
CRD#: 306299 / SEC#: 801-117741
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/24/2020)
(4/20/2020)
Exams
Series 5
Date: 6/30/1982
Interest Rate Options ExaminationPC
Date: 6/1/1978
AMEX Put and Call ExamSeries 1
Date: 8/19/1972
Registered Representative ExaminationCurrent Firm
WOODWARD DIVERSIFIED CAPITAL, LLC
CRD#: 306299 / SEC#: 801-117741
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,035 |
| AUM (Assets Under Management) | $ 570,763,917 |
Red Flags
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Company Information
WOODWARD DIVERSIFIED CAPITAL, LLC
CRD#: 306299Bakersfield, CA 93309TRUST BUT VERIFY
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