Stephen J. Woodard
Professional summary
Stephen J Woodard, CFP®, who also goes by Stephen Woodard, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Albany, New York and NYLIFE SECURITIES LLC located in Albany, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen J Woodard's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2020 - Present
EAGLE STRATEGIES LLC
Office #1: 5 Washington Square First Floor, Albany, NY 12205August 31, 2011 - Present
NYLIFE SECURITIES LLC
Office #1: 5 Washington Square First Floor, Albany, NY 12205August 26, 2010 - May 11, 2011
MERCER ALLIED COMPANY, L.P.
December 23, 2008 - July 16, 2010
NYLIFE SECURITIES LLC
August 10, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 10, 2004 - July 9, 2008
MSI FINANCIAL SERVICES, INC.
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
(10/27/2025)
(10/15/2020)
(10/27/2025)
(5/30/2012)
(10/28/2025)
(5/31/2012)
(10/28/2025)
(10/28/2025)
(5/30/2012)
(1/5/2023)
(5/30/2012)
(1/5/2023)
(5/30/2012)
(8/31/2011)
(8/3/2021)
(6/1/2012)
(10/15/2020)
(10/15/2020)
(10/15/2020)
(10/28/2025)
(1/5/2023)
(10/29/2025)
Exams
FINRA
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.
