Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DAVID CHENG-WEI HSU
CRD#: 4140214
IA
Investment Adviser
B
Broker
NEWDAYCRD#: 174758 Puyallup, WA
CAPULENT LLCCRD#: 155155 Puyallup, WA
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2012 (6 years)BCAPULENT LLC (CRD# 155155)2025 - Present (<1 year)IANEWDAY (CRD# 174758)2023 - Present (1 year)BINSPEREX LLC (CRD# 101420)2021 - 2023 (1 year)B280 SECURITIES LLC (CRD# 284939)2017 - 2021 (4 years)BLIBERTY GROUP, LLC (CRD# 106036)2012 - 2016 (4 years)BNEIGHBORLY SECURITIES (CRD# 17686)2016 - 2016 (<1 year)BTHOMAS WEISEL PARTNERS LLC (CRD# 46237)2011 - 2012 (<1 year)BWACHOVIA SECURITIES, INC. (CRD# 19616)2000 - 2003 (2 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)2000 - 2000 (<1 year)IAGROW CAPITAL MANAGEMENT (CRD# 174758)2016 - 2017 (<1 year)
License(s)

State Registrations

IA
Washington 11/28/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CAPULENT LLC (CRD#:155155)
Puyallup, WA
Registered with this firm since 3/19/2025
IA
NEWDAY (CRD#:174758)
Puyallup, WA
Registered with this firm since 11/28/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/01/2021 - 02/23/2023 INSPEREX LLC (CRD#:101420) DELRAY BEACH, FL
B
 04/28/2017 - 10/04/2021 280 SECURITIES LLC (CRD#:284939) Seattle, WA
IA
 09/08/2016 - 03/02/2017 GROW CAPITAL MANAGEMENT (CRD#:174758) SAN FRANCISCO, CA
B
 06/04/2012 - 09/06/2016 LIBERTY GROUP, LLC (CRD#:106036) MOUNTAIN VIEW, CA
B
 03/15/2016 - 05/30/2016 NEIGHBORLY SECURITIES (CRD#:17686) SAN FRANCISCO, CA
B
 12/07/2005 - 06/13/2012 STONE & YOUNGBERG LLC (CRD#:795) SAN FRANCISCO, CA
B
 10/06/2011 - 05/17/2012 THOMAS WEISEL PARTNERS LLC (CRD#:46237) SAN FRANCISCO, CA
B
 12/07/2005 - 05/11/2012 STONE & YOUNGBERG LLC (CRD#:795) NEW YORK, NY
B
 10/01/2000 - 05/30/2003 WACHOVIA SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 04/26/2000 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.