WA
Woody J. Ayers
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CRD#: 5918444
WA
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.
Woody Joseph Ayers, who also goes by Woody Joseph Ayers, was a registered financial professional .
Woody is a previously registered financial professional and started their career in finance in 2023. Woody had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Woody Joseph Ayers
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.
[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 14819 Ballantyne Village Way, Charlotte 28277; Start Date: 2/2024; Role/Title: Insurance Broker; Investment related; 5 hours per month; 5 hours per month during securities trading hours; Providing insurance solutions including fact finding, prospecting and presenting solutions.] [Foothills Transportation Advisory Committee; Transportation planning and mapping/GIS support to McDowell, Polk and Rutherford counties; 111 W Court St, Rutherfordton, NC 28139; Start Date: 2/2017; Role/Title: Board Member; Not investment related; 1 hour per month; 1 hour per month during securities trading hours; Developing comprehensive transportation plans in coordination with NCDOT Providing a forum for public participation in the planning process Developing and prioritizing projects for the State Transportation Improvement Program (STIP) Providing transportation data to local governments and other interested parties] [Advisory Leadership Council North Carolina Cooperative Extension-McDowell Center; Providing valuable perspectives on the unique challenges and opportunities within McDowell County. Composed of individuals who share a passion for community development, our Council focuses on these key program areas: Agriculture and Natural Resource; 60 East Court Street, Marion, NC 28752; Start Date: 2/2024; Role/Title: Board Member; Not investment related; 1 hour per month; 0 hours per month during securities trading hours; directly contribute to the design and implementation of programs that address specific needs of our community. The Advisory Leadership Council plays a vital role in identifying and addressing local issues, ensuring that our Extension programs remain relevant and effective. By working closely with fellow community leaders, you will be part of a collaborative effort to foster positive change and growth in McDowell County.] [Rental Property; Ownership of an individual rental property.; 182 Willow Street, Marion, NC 28752; Start Date 03/2024; Role/Title: Owner; Investment Related; 1 hours per month; 0 hours per month during securities trading hours][City Manager-City of Marion, NC; Coordinating day to day activities for each department for City of Marion, Coordinating annual budgeting, coordinating City of Marion, city council meetings.; 14 S. Main Street, Marion, NC 28752; Start Date 04/2025; Role/Title: Employee; Not Investment Related; 70 hours per month; 60 hours per month during securities trading hours]
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®
NoneExperience
Past
November 8, 2024 - September 8, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
MARION, NC
Past
April 25, 2024 - September 8, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MARION, NC
Past
October 30, 2023 - January 8, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Marion, NC
Past
October 30, 2023 - January 8, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MARION, NC
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".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/25/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804
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.
