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DH

David C. Hsu

CAPULENT
PHOENIX, AZ 85018
Some features on this profile are disabled
CRD#: 4140214
DH

Professional summary

David Cheng-wei Hsu is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 19, 2025 - Present

CAPULENT LLC

Office #1: 3200 E Camelback Rd Ste 130, Phoenix, AZ 85018
BD
CRD#: 155155
PHOENIX, AZ
Past

November 28, 2023 - April 17, 2026

NEWDAY

RIA
CRD#: 174758
Puyallup, WA
Past

July 1, 2021 - February 23, 2023

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

April 28, 2017 - October 4, 2021

280 SECURITIES LLC

BD
CRD#: 284939
Seattle, WA
Past

September 8, 2016 - March 2, 2017

NEWDAY

RIA
CRD#: 174758
SAN FRANCISCO, CA
Past

March 15, 2016 - May 30, 2016

NEIGHBORLY SECURITIES

BD
CRD#: 17686
SAN FRANCISCO, CA
Past

June 4, 2012 - September 6, 2016

LIBERTY GROUP, LLC

BD
CRD#: 106036
MOUNTAIN VIEW, CA
Past

October 6, 2011 - May 17, 2012

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

December 7, 2005 - June 13, 2012

STONE & YOUNGBERG LLC

BD
CRD#: 795
SAN FRANCISCO, CA
Past

October 1, 2000 - May 30, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 26, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/30/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/11/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/19/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 3/19/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/19/2025
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/19/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/29/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/25/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
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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
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BACHMAN, JUSTIN MATTHEWCEO6412695
AMYS, JENNIFER TMEMBER
FERNANDEZ, EDWARD ERICMEMBER2956661
COLLINS, ELIZABETH SARAHFINOP/CFO/POO/PFO4714831
HSU, DAVID CHENG-WEICCO4140214

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.

Company Information

CAPULENT LLC

CRD#: 155155Phoenix, AZ 85018

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