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Thomas Dorsey Woodward

Woodward Diversified Capital, LLC

Bakersfield, CA

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Current Employers
Woodward Diversified Capital, Llc

5401 Business Park South #217, Bakersfield, CA 93309 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-04-20
CA RA APPROVED 2020-03-24
  • TX RA
    APPROVED
    Since 2020-04-20
  • CA RA
    APPROVED
    Since 2020-03-24

Branch Locations

5401 Business Park South #217, Bakersfield, CA 93309 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Bakersfield CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Bakersfield CA 11/2016 03/2020
Woodward Diversified Capital, Llc Bakersfield CA 03/2020 Present
Previous Registrations
  • 2011-01-03 → 2020-03-24
    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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-11
S63 Uniform Securities Agent State Law Examination 1981-03-02
  • S65 Uniform Investment Adviser Law Examination
    1995-05-11
  • S63 Uniform Securities Agent State Law Examination
    1981-03-02

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