DH
David B. Hamlin
CARUSO MCLEAN & CO.
Utica, NY 13502
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CRD#: 6390497
DH
Professional summary
David B Hamlin is a registered financial advisor currently at CARUSO MCLEAN & CO., INC. located in Utica, New York and EMPIRE RETIREMENT PLANS, LLC located in Utica, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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. CARUSO MCLEAN POSITION: Administrative Assistant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2020 ADDRESS: 130 Lomond Ct, Utica NY 13502, United States DESCRIPTION: Researching mutual funds. Speaking with clients. 2. CARUSO MCLEAN POSITION: Insurance Agent NATURE: NYS Insurance - Life, Accident, & Health INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2020 ADDRESS: 130 Lomond Ct, Utica NY 13502, United States DESCRIPTION: Advise on Insurance products. Mostly annuities. 3. DAVID HAMLIN POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2016 ADDRESS: 3 Galway Rd, New Hartford NY 13413, United States DESCRIPTION: Notary Public 4. EMPIRE RETIREMENT PLANS POSITION: Retirement Plan Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2025 ADDRESS: 130 Lomond Ct, Utica NY 13502, United States DESCRIPTION: Provide investment advisory services for retirement plans under an independent RIA.
CRS (Client Relationship Summary) - RIA
Click below to view David B Hamlin's 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®
NoneExperience
Current
February 27, 2017 - Present
CARUSO MCLEAN & CO., INC.
Office #1: 130 Lomond Court, Utica, NY 13502RIA
CRD#: 126084
Utica, NY
Current
March 26, 2025 - Present
EMPIRE RETIREMENT PLANS, LLC
Office #1: 130 Lomond Ct, Utica, NY 13502RIA
CRD#: 334783
UTICA, NY
Current
December 4, 2015 - Present
OSAIC WEALTH, INC.
Office #1: Lomond Place Office Park 130 Lomond Court, Utica, NY 13502RIA
BD
CRD#: 23131
Utica, NY
Past
September 29, 2015 - November 9, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SYRACUSE, NY
Past
September 16, 2014 - February 4, 2015
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
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".
CM
CARUSO MCLEAN & CO., INC.
CARUSO MCLEAN & CO., INC.
CRD#: 126084 / SEC#: 801-64498
RIA
Registered Investment Advisory firm - (7/11/2005 Approved)New York
Registered Investment Advisory firm - (12/8/2005 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2004 Failure to Renew)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.RR
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
RR
New York(12/4/2015)
IAR
New York(7/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
CARUSO MCLEAN & CO., INC.
CARUSO MCLEAN & CO., INC.
CRD#: 126084 / SEC#: 801-64498
RIA
Registered Investment Advisory firm - (7/11/2005 Approved)New York
Registered Investment Advisory firm - (12/8/2005 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2004 Failure to Renew)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Lomond Court, Utica, NY 13502
Mailing Address
Phone number
(315) 724-5105
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 188 |
| AUM (Assets Under Management) | $ 248,883,367 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CARUSO MCLEAN & CO., INC.
CRD#: 126084Utica, NY 13502TRUST BUT VERIFY
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