**Haselkorn & Thibaut has opened an investigation into Thomas Woodward Hulick, a financial professional based in Woodcliff Lake, NJ. If you have concerns about your investments or losses involving Thomas Hulick, take advantage of a free, confidential consultation with Haselkorn & Thibaut at 1-888-994-8066.**
**Overview: Who Is Thomas Woodward Hulick?**
Thomas Woodward Hulick (CRD #1806305) is an experienced figure within the financial services industry. Currently, he serves as CEO and Chief Compliance Officer of Strategy Asset Managers, LLC, located in Woodcliff Lake, New Jersey. While Mr. Hulick is now dedicated to investment advisory services and is not a registered broker, his career history includes time at several notable broker-dealer firms. Most recently, he was affiliated with Newbridge Securities Corporation (Boca Raton, FL), which is relevant for investors reviewing their options.
**Key Background Details**
| Field | Value |
|---|---|
| Advisor Name | Thomas Woodward Hulick |
| CRD Number | 1806305 |
| Current Title | CEO & CCO, Investment Adviser Representative |
| Current Firm | Strategy Asset Managers, LLC (2018–present) |
| Most Recent Broker-Dealer | Newbridge Securities Corporation (03/2019–05/2020) |
**Career Timeline**
– **Strategy Asset Managers, LLC** (Woodcliff Lake, NJ): CEO & Chief Compliance Officer; Investment Adviser Representative (2018–present)
– **Newbridge Securities Corporation** (Boca Raton, FL): Registered Representative (03/2019–05/2020)
– **Monarch Bay Securities, LLC** (El Segundo, CA): Registered Representative (10/2014–10/2016)
– **UVest Financial Services Group, Inc.** (Ontario, CA): Registered Representative (11/2007–09/2010)
– **UBS Financial Services Inc.** (Los Angeles, CA): Registered Representative (01/2005–10/2007)
– **Banc of America Investment Services, Inc.** (Boston, MA): Registered Representative (01/2003–01/2005)
– **Morgan Stanley DW Inc.** (Purchase, NY): Registered Representative (07/1995–12/2002)
**Additional Affiliations:**
– **Hulick Capital Mgmt, LLC (Pasadena, CA):** CEO/CCO/Founder
– **Strategy Insurance Services, LLC (Pasadena, CA):** Owner & Insurance Agent
**Current Regulatory Status**
– Not currently a registered broker.
– Acts as an investment adviser representative, focusing on portfolio management and advisory services.
**Complaints and Disputes Involving Thomas Woodward Hulick**
It’s important for investors to understand the **track record** of any professional handling their assets. While there are no regulatory actions or enforcement proceedings on record for Thomas Woodward Hulick, there are two specific customer complaints that investors should be aware of.
**Summary of Complaints/Allegations**
| Date | Status | Allegations | Amount | Firm Affiliation |
|---|---|---|---|---|
| 08/25/2025 | Pending | Failure to supervise an unsuitable recommendation involving a closed-end income fund. | $500,000 (claimed damages) | Strategy Asset Managers, LLC |
| 11/15/2001 | Denied | Unsuitable recommendations in several listed equities. | $16,000 (alleged damages) | Morgan Stanley DW Inc. |
**Details of Client Disputes:**
– **Pending Customer Complaint (2025):**
A current written customer complaint alleges *failure to supervise* regarding an unsuitable closed-end income fund recommendation during Mr. Hulick’s time at Strategy Asset Managers, LLC. The client is seeking $500,000 in damages. This matter is pending and has not been adjudicated or resolved.
– **Previous Complaint (2001):**
While at Morgan Stanley DW Inc., a client accused Mr. Hulick of making unsuitable recommendations in several equities. Alleged damages were $16,000. The complaint was denied by the firm and did not proceed to arbitration or result in any regulatory findings.
**What Do These Allegations Mean?**
– **Unsuitability:**
This refers to recommendations that do not match a client’s investment objectives or risk tolerance, which can be grounds for action under FINRA Rule 2111 when operating as a broker.
– **Failure to Supervise:**
Financial firms and their supervisors are required by industry rules (e.g., FINRA Rule 3110) to establish effective supervisory systems. Allegations of failing to oversee the suitability of investment recommendations can be serious, even if they have not yet resulted in regulatory findings or awards.
**Regulatory and Legal History Review**
An extensive review of industry databases, including [FINRA BrokerCheck](https://brokercheck.finra.org/individual/summary/1806305), SEC documents, state regulator databases, and court records, reveals:
– **No FINRA regulatory findings, suspensions, fines, or bars** against Thomas Woodward Hulick.
– **No SEC orders, actions, or administrative proceedings** listing Thomas Hulick as a defendant or respondent.
– **No state regulatory actions** have been reported.
– **No federal or state lawsuits** have been identified in major public dockets.
– **No relevant news or industry media coverage** regarding any disciplinary actions or notable legal developments.
**Key Red Flags to Consider as an Investor**
– *Pending customer complaint for a sizable loss* ($500,000) involving suitability and failure to supervise—signals possible risk management or oversight concerns.
– *History of a prior denied complaint for suitability*, even if not substantiated, still reflects prior client dissatisfaction.
– *No regulatory or legal actions reported*—while this is positive, pending complaints should still be monitored.
**What Should Investors Do Next?**
If you have invested with Thomas Woodward Hulick—especially during his tenure at Newbridge Securities Corporation, Strategy Asset Managers, LLC, or any previous firm—it is important to:
- Review your investment performance and account statements for any unexpected losses or investments that do not meet your goals or risk tolerance.
- Stay informed about the status of the pending customer dispute. Additional information may become available as the matter progresses.
- Consult with a knowledgeable investment fraud attorney on your specific situation. Gathering your documents and getting a professional review can help clarify your options and protect your interests.
**Why Choose Haselkorn & Thibaut?**
With over 50 years of experience, a 98% success rate, and millions recovered for clients nationwide, Haselkorn & Thibaut (investmentfraudlawyers.com) is one of the premier law firms focusing exclusively on securities fraud and investment loss recovery. Clients pay no fees unless there is a recovery.
If you have questions or concerns about your investments with Thomas Woodward Hulick or any other financial professional, do not wait. **Call Haselkorn & Thibaut now at 1-888-994-8066 for a free, confidential consultation.** Evaluating your account is free, and there is no obligation—get clarity and protect your financial future today.
**Stay proactive.** Set up alerts for updates on Thomas Woodward Hulick’s profile through FINRA BrokerCheck, monitor pending disputes, and seek professional advice if you have experienced losses. Your financial peace of mind is always worth a second opinion.
