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DH

David Cheng-wei Hsu

CAPULENT

PHOENIX, AZ

·CRD# 4140214·26 years experience

Professional Summary

David Cheng-wei Hsu is a registered financial advisor currently at CAPULENT LLC located in Phoenix, Arizona. David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 82TO, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 14, Series 53, Series 10, Series 9 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

CAPULENT LLC·CRD# 155155

BD

3200 E Camelback Rd Ste 130, Phoenix, AZ 85018

March 19, 2025 - Present

NEWDAY·CRD# 174758

RIA

Puyallup, WA

November 28, 2023 - April 17, 2026

INSPEREX LLC·CRD# 101420

BD

Delray Beach, FL

July 1, 2021 - February 23, 2023

280 SECURITIES LLC·CRD# 284939

BD

Seattle, WA

April 28, 2017 - October 4, 2021

NEWDAY·CRD# 174758

RIA

San Francisco, CA

September 8, 2016 - March 2, 2017

NEIGHBORLY SECURITIES·CRD# 17686

BD

San Francisco, CA

March 15, 2016 - May 30, 2016

LIBERTY GROUP, LLC·CRD# 106036

BD

Mountain View, CA

June 4, 2012 - September 6, 2016

THOMAS WEISEL PARTNERS LLC·CRD# 46237

BD

San Francisco, CA

October 6, 2011 - May 17, 2012

STONE & YOUNGBERG LLC·CRD# 795

BD

San Francisco, CA

December 7, 2005 - June 13, 2012

WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616

BD

St. Louis, MO

October 1, 2000 - May 30, 2003

FIRST UNION BROKERAGE SERVICES, INC.·CRD# 8112

BD

Charlotte, NC

April 26, 2000 - October 1, 2000

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Current Firm

CL

CAPULENT LLC

BARNARD/MONTAGUE SECURITIES, LLC | CROWDTRADE | CAPULENT SECURITIES | CAPULENT LLC | BERING STRAIT CAPITAL, LLC | BERING STRAIT CAPITAL , LLC

CRD#: 155155 / SEC#: 8-68699

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

3200 E Camelback Rd Ste 130, Phoenix, AZ 85018

Mailing Address

3200 E Camelback Rd Ste 130, Phoenix, AZ 85018

Phone Number

(800) 255-5181

Established

California since 06/04/2010

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

FINRA licenses (48 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BACHMAN, JUSTIN MATTHEW	CEO	6412695
AMYS, JENNIFER T	MEMBER	—
FERNANDEZ, EDWARD ERIC	MEMBER	2956661
COLLINS, ELIZABETH SARAH	FINOP/CFO/POO/PFO	4714831
HSU, DAVID CHENG-WEI	CCO	4140214

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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.

1. Compliance Advisory, LLC; Non-investment related; Located at 2315 43rd Street SE, Puyallup, WA. 98374; Nature of business-compliance consulting services to financial services firms; Position-Owner; Start-2012; Hours varies month-to month; Hours varies during securities trading hours; Duties-Consultant. 2. LGM Capital Management; Investment related; Located at 11811 N Tatum Blvd., #3031, Phoenix, Az. 85028; Nature of business-Investment/Financial Services; Position-Chief Compliance Officer; Start-June 2017; Approximately 8 hours weekly; Less than 2 hours during securities trading hours; Duties-various compliance responsibilities. 3. Newday Funds Inc; Investment Related; 9 Union Square Unit #1123 Southbury, CT 06488; SEC Registered Investment Advisor; Chief Compliance Officer; 10/1/2022; 20 hours per week; compliance and operations.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2016About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Jun 2016About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2000About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Mar 2025About the Series 82TO exam

Series 99TO — Operations Professional Examination

Passed Mar 2025About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2000About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Mar 2025About the Series 14 exam

Series 53 — Municipal Securities Principal Examination

Passed Feb 2017About the Series 53 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Apr 2002About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Apr 2002About the Series 9 exam

Series 24 — General Securities Principal Examination

Passed Feb 2002About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view David Cheng-wei Hsu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DH

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