Hsin-chuan Hsu
Professional summary
Hsin-chuan Hsu was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hsin-chuan is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Hsin-chuan had worked at 2 firms, which includes DOMINICK & DICKERMAN LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2008 - February 1, 2011
DOMINICK & DICKERMAN LLC
May 4, 2001 - December 31, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1987 - November 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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.
