Caleb J. Richmond

WOODWARD DIVERSIFIED CAPITAL

Bakersfield, CA 93309

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CRD#: 7006596

Professional summary

Caleb James Richmond is a registered financial advisor currently at WOODWARD DIVERSIFIED CAPITAL, LLC located in Bakersfield, California.

Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Caleb has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Amazon Seller Central, not investment related, 709 Hewlett St Bakersfield, CA 93309, independent contractor, ~5 hours per week not during trading hours. It's an amazon storefront to resell items.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Richmond's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 22, 2022 - Present

WOODWARD DIVERSIFIED CAPITAL, LLC

Office #1: 5401 Business Park South #217, Bakersfield, CA 93309

RIA

CRD#: 306299

Bakersfield, CA

Past

June 11, 2019 - December 11, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BAKERSFIELD, CA

Past

February 16, 2019 - December 11, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BAKERSFIELD, CA

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".

WOODWARD DIVERSIFIED CAPITAL, LLC

CRD#: 306299 / SEC#: 801-117741

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/22/2022)

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

State Security Law Exam

IAR

Series 66

Date: 6/7/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/16/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/1/2019

Securities Industry Essentials Examination

Current Firm

WOODWARD DIVERSIFIED CAPITAL, LLC

CRD#: 306299 / SEC#: 801-117741

RIA

Registered Investment Advisory firm - (12/5/2019 Approved)

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Contact information

Main Address

5401 Business Park South #217, Bakersfield, CA 93309

Mailing Address

Phone number

(661) 498-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WOODWARD DIVERSIFIED CAPITAL BROCHURE (11/6/2025)

WOODWARD DIVERSIFIED CAPITAL WRAP BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,035
AUM (Assets Under Management)	$ 570,763,917

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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Caleb J. Richmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb James Richmond's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODWARD DIVERSIFIED CAPITAL, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WOODWARD DIVERSIFIED CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2019

Series 7TO

Date: 2/16/2019

SIE

Date: 2/1/2019

Current Firm

WOODWARD DIVERSIFIED CAPITAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOODWARD DIVERSIFIED CAPITAL, LLC

TRUST BUT VERIFY

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