Thomas Dorsey Woodward

Employer firm

Woodward Diversified Capital, LLC CRD 306299

$610M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Bakersfield, CA
• 11/2016 → 03/2020
  Wells Fargo Clearing Services, Llc
  Bakersfield, CA
• 03/2020 → Present
  Woodward Diversified Capital, Llc
  Bakersfield, CA

Previous Registrations

• 2011-01-03 → 2020-03-24
  Wells Fargo Clearing Services, Llc
  San Luis Obispo, CA
  Bakersfield, CA
  Fresno, CA
  San Luis Obispo, CA
  Fresno, CA
  Bakersfield, CA
  San Luis Obispo, CA
• 2009-04-20 → 2011-01-03
  Wells Fargo Investments, Llc
  Bakersfield, CA
  San Luis Obispo, CA
• 2004-02-13 → 2009-04-20
  Banc Of America Investment Services, Inc.
  Oakhurst, CA
  Merced, CA
  Bakersfield, CA
  Roseville, CA
  Bakersfield, CA
  Roseville, CA
• 1997-07-08 → 2004-02-25
  Morgan Stanley Dw Inc.
  Bakersfield, CA

Other Businesses

FUNDARE RESOURCES; INVESTMENT RELATED; GREENWOOD VILLAGE, CO; EXPLORATION AND PRODUCTION COMPANY; BOARD MEMBER; START 09/2021; 10 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING; REVIEW BUSINESS ACTIVITY AND VOTE ON BOARD MATTERS. RANGEVIEW RESOURCES; INVESTMENT RELATED; GREENWOOD VILLAGE, CO; EXPLORATION AND PRODUCTION COMPANY; BOARD MEMBER; START 09/2021; 2 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING; REVIEW BUSINESS ACTIVITY AND VOTE ON BOARD MATTERS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-11
• S63 Uniform Securities Agent State Law Examination
  1981-03-02