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STEPHEN J WOODARD
STEPHEN WOODARD
CRD#: 4828479
IA
B
EAGLE STRATEGIES LLCCRD#: 110826 5 WASHINGTON SQUARE
FIRST FLOOR
ALBANY, NY 12205
FIRST FLOOR
ALBANY, NY 12205
NYLIFE SECURITIES LLCCRD#: 5167 5 WASHINGTON SQUARE
FIRST FLOOR
ALBANY, NY 12205
FIRST FLOOR
ALBANY, NY 12205
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
California 10/15/2020
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New Jersey 3/13/2020
B
Connecticut 5/30/2012
B
New York 8/31/2011
B
Florida 5/31/2012
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New York 8/3/2021
B
Maine 5/30/2012
B
North Carolina 6/1/2012
B
Maryland 1/5/2023
B
Ohio 10/15/2020
B
Massachusetts 5/30/2012
B
South Carolina 10/15/2020
B
Minnesota 1/5/2023
B
Texas 10/15/2020
B
New Jersey 5/30/2012
B
Virginia 1/5/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/13/2020
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Registered with this firm since 8/31/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/26/2010 - 05/11/2011 | ALBANY, NY | |
B | 12/23/2008 - 07/16/2010 | LATHAM, NY | |
B | 08/10/2004 - 07/09/2008 | GLENS FALLS, NY | |
B | 08/10/2004 - 07/09/2007 | GLENNS FALLS, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.