Stephen C. Hsu

BA SECURITIES

COSTA MESA, CA 92626

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CRD#: 4424016

Professional summary

Stephen C Hsu is a registered financial professional currently at BA SECURITIES, LLC located in Costa Mesa, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Stephen C 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

August 8, 2012 - Present

BA SECURITIES, LLC

Office #1: 3200 Park Center Drive, Costa Mesa, CA 92626

CRD#: 153489

COSTA MESA, CA

Past

March 8, 2012 - April 24, 2012

INNOVATION CAPITAL, LLC

CRD#: 133551

LOS ANGELES, CA

Past

October 24, 2005 - January 10, 2007

CAPPELLO CAPITAL CORP.

CRD#: 30124

SANTA MONICA, CA

Past

August 12, 2004 - September 16, 2005

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

August 8, 2003 - July 13, 2004

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

October 22, 2001 - July 17, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/8/2012)

Florida
(5/3/2024)

Illinois
(10/8/2024)

Montana
(9/1/2023)

New Jersey
(6/16/2022)

Pennsylvania
(8/8/2012)

Utah
(2/22/2022)

Exams

State Security Law Exam

Series 63

Date: 12/9/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 11/11/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 10/20/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

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

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Contact information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BA HOLDCO, LLC	OWNER
BOLDEN, MICHAEL LABRADOR	CHIEF COMPLIANCE OFFICER	6411755
CHUFF, JOHN JOSEPH	PRESIDENT	1205736
HATLING, PEDER ALAN	PRINCIPAL	5240595
JUILIANO, COLLEEN JANE	FINOP	4818898
KELLER-YOUNG, SUZANNE	OPERATIONS MANAGER	5495492
PICKENS, DANIEL NEHIL	PRINCIPAL	1042225
WENTZLER, DENNIS RAYMOND	CHIEF OPERATIONS OFFICER & AML OFFICER	4221461

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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Stephen C. Hsu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen C Hsu's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION CAPITAL, LLC

CAPPELLO CAPITAL CORP.

UBS SECURITIES LLC

THOMAS WEISEL PARTNERS LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/9/2011

SIE

Date: 10/1/2018

Series 79

Date: 11/11/2011

Series 7

Date: 10/20/2001

FINRA

Current Firm

BA SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BA SECURITIES, LLC

TRUST BUT VERIFY

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