David Hsu is a registered investment advisor, based in Puyallup, WA, with 22 years of industry experience.
Location
Puyallup, WA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David owns Compliance Advisory, LLC, providing compliance consulting services to financial services firms. He also serves as Chief Compliance Officer for LGM Capital Management and Newday Funds Inc, dedicating a few hours per week and about 10-20% of his time, respectively, to these roles.
Employment History
Current Registrations
Capulent LLC
Capulent LLCBroker
Newday
Previous Registrations
Insperex LLCBroker
280 Securities LLCBroker
Grow Capital Management
Neighborly SecuritiesBroker
Liberty Group, LLCBroker
Thomas Weisel Partners LLCBroker
Stone & Youngberg LLCBroker
Stone & Youngberg LLCBroker
Wachovia Securities, INC.Broker
First Union Brokerage Services, INC.Broker
State Registrations1 state
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