David C. Hsu

NEWDAY

Puyallup, WA

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CRD#: 4140214

Professional summary

David Cheng-wei Hsu is a registered financial advisor currently at NEWDAY located in Puyallup, Washington and CAPULENT LLC located in Phoenix, Arizona.

David is registered as an IAR (Investment Advisor Representative) and 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"?

Yes

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.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

November 28, 2023 - Present

NEWDAY

RIA

CRD#: 174758

Puyallup, WA

Current

March 19, 2025 - Present

CAPULENT LLC

Office #1: 4144 N 44th Street Ste 3, Phoenix, AZ 85018

CRD#: 155155

Phoenix, AZ

Past

July 1, 2021 - February 23, 2023

INSPEREX LLC

CRD#: 101420

DELRAY BEACH, FL

Past

April 28, 2017 - October 4, 2021

280 SECURITIES LLC

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

CRD#: 17686

SAN FRANCISCO, CA

Past

June 4, 2012 - September 6, 2016

LIBERTY GROUP, LLC

CRD#: 106036

MOUNTAIN VIEW, CA

Past

October 6, 2011 - May 17, 2012

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

December 7, 2005 - June 13, 2012

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

October 1, 2000 - May 30, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 26, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEWDAY

CRD#: 174758 / SEC#: 801-112212

RIA

Registered Investment Advisory firm - (1/2/2018 Approved)

California

Registered Investment Advisory firm - (2/1/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(11/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/11/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 3/19/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 3/19/2025

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 3/19/2025

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 2/19/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/29/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/25/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NEWDAY

CRD#: 174758 / SEC#: 801-112212

RIA

Registered Investment Advisory firm - (1/2/2018 Approved)

California

Registered Investment Advisory firm - (2/1/2018 Terminated)

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Contact information

Main Address

9 Union Square Unit #1123, Southbury, CT 06488

Mailing Address

Phone number

(415) 935-0550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWDAY IMPACT FORM ADV PART 2 AND 2B (9/25/2025)

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 172,421,272

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.

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Advisor Monitoring

Firm Stability Insights

David C. Hsu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CAPULENT LLC

INSPEREX LLC

280 SECURITIES LLC

NEWDAY

NEIGHBORLY SECURITIES

LIBERTY GROUP, LLC

THOMAS WEISEL PARTNERS LLC

STONE & YOUNGBERG LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

NEWDAY

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2016

Series 66

Date: 6/11/2016

Series 63

Date: 5/5/2000

Series 82TO

Date: 3/19/2025

Series 99TO

Date: 3/19/2025

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/25/2000

Series 14

Date: 3/19/2025

Series 53

Date: 2/19/2017

Series 10

Date: 4/29/2002

Series 9

Date: 4/25/2002

Series 24

Date: 2/22/2002

FINRA

Current Firm

NEWDAY

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWDAY

TRUST BUT VERIFY

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