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DH

David W. Hulett

CORPORATE FINANCE SECURITIES
Lexington, KY 40502
Some features on this profile are disabled
CRD#: 868961
DH

Professional summary

David William Hulett, CFP® is a registered financial professional currently at CORPORATE FINANCE SECURITIES, INC. located in Lexington, Kentucky.

David is registered as a RR (Registered Representative) and started their career in finance in 1979. David has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 8 exams.

top-8-questions

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 William Hulett'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®
CFP®

Certified Financial Planner

Experience

Current

May 4, 2010 - Present

CORPORATE FINANCE SECURITIES, INC.

Office #1: 1999 Richmond Road Suite 500, Lexington, KY 40502
BD
CRD#: 143453
Lexington, KY
Past

January 22, 2004 - January 13, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LEXINGTON, KY
Past

August 1, 2003 - January 13, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 31, 2001 - September 9, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LEXINGTON, KY
Past

July 25, 1979 - September 9, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

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
Florida
(6/23/2025)
RR
Kentucky
(8/11/2010)
RR
Michigan
(6/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/6/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/12/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/14/1987
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CF
CORPORATE FINANCE SECURITIES, INC.
CORPORATE FINANCE SECURITIES, INC.

CRD#: 143453 / SEC#: , 8-67566

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Mailing Address
120 Vantis Drive Suite 300, Aliso Viejo, CA 92656
Phone number
(949) 305-6710
Established
Delaware since 10/03/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 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#
ACADEMY ASSOCIATES LLCSHAREHOLDER
CENTAURUS PARTNERS, LLCSHAREHOLDER
CORPORATE FINANCE ASSOCIATES MINNESOTA, INC.SHAREHOLDER
CORPORATE FINANCE ASSOCIATES NEW ENGLAND, LLCSHAREHOLDER
CORPORATE FINANCE ASSOCIATES, INC. A TEXAS CORPORATIONSHAREHOLDER
CORPORATE FINANCE ASSOCIATES, LLCSHAREHOLDER
HEYDENRYCH FAMILY TRUSTSHAREHOLDER
POWELL, PATRICK SCOTTSHAREHOLDER5778669
AARKENSTONE QUEST, LLCSHAREHOLDER
HEYDENRYCH, HELENA JOANNAPRINCIPAL OPERATIONS OFFICER, TRUSTEE5305105
HEYDENRYCH, PETER MICHAELPRINCIPAL OPERATIONS OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, TRUSTEE5304971
SINYARD, DAVID BLAIRCCO, AMLCO5122340
ST. GERMAIN, ROBERT PAULCEO, CHAIRMAN5384187

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

CORPORATE FINANCE SECURITIES, INC.

CRD#: 143453Lexington, KY 40502

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