Tom Hulick Strategy Asset Managers Investigation: What Investors Should Know
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Haselkorn & Thibaut has opened an investigation into Tom Hulick, a Pasadena, California-based financial advisor currently registered with Strategy Asset Managers. If you’ve worked with Tom Hulick or Hulick Capital Management and experienced investment losses, understanding the recent developments surrounding this advisor could be crucial for protecting your financial interests.
Understanding the Tom Hulick Complaint
A significant investor complaint has been filed against Tom Hulick (CRD# 1806305), alleging unsuitable investment recommendations that resulted in $500,000 in claimed damages. The complaint, filed in August 2025, specifically concerns advice regarding a closed-end fund investment while Mr. Hulick was representing Strategy Asset Managers.
What makes this situation particularly noteworthy is the substantial amount of alleged damages. Half a million dollars represents a life-changing sum for most investors, potentially impacting retirement plans, financial security, and long-term goals.
Mr. Hulick has responded to these allegations with a strong denial, stating that neither he nor Strategy Asset Managers earned any compensation from the investment in question. He maintains that all relevant information was properly disclosed through prospectus delivery.
Tom Hulick’s Professional Background
Understanding an advisor’s background helps investors make informed decisions about their financial relationships. Here’s what public records reveal about Tom Hulick:
| Career Highlights | Details |
|---|---|
| Years of Experience | 29 years in securities industry |
| Current Registration | Strategy Asset Managers (since 2018) |
| Business Name | Hulick Capital Management |
| Licensed States | California, New Jersey, Texas |
His extensive career includes affiliations with several well-known financial institutions:
- Morgan Stanley
- UBS Financial Services
- Banc of America Investment Services
- Newbridge Securities Corporation
- First Foundation Advisors
- UVest Financial Services Group
- Holly Street Wealth Advisors
- Monarch Bay Securities
- Trovena Investment Advisors
Red Flags Investors Should Consider
When evaluating any financial advisor, certain warning signs deserve careful attention. In Tom Hulick’s case, several factors warrant consideration:
1. Significant Damage Claims
The $500,000 complaint amount suggests serious concerns about investment recommendations. While complaints don’t equal guilt, the magnitude deserves investor attention.
2. Closed-End Fund Concerns
Closed-end funds can be complex investments that may not suit every investor’s needs. They often involve:
- Higher fees than traditional mutual funds
- Price volatility independent of underlying assets
- Potential liquidity challenges
- Complex tax implications
3. Multiple Firm Changes
While career moves aren’t necessarily negative, frequent changes between firms can sometimes indicate underlying issues worth investigating.
What This Means for Current and Former Clients
If you’ve worked with Tom Hulick or Strategy Asset Managers, now is the time to review your investment portfolio carefully. Consider these important steps:
Review Your Investments: Look closely at any closed-end funds or similar complex products in your portfolio. Understand their fees, risks, and suitability for your financial situation.
Document Everything: Gather all correspondence, account statements, and notes from meetings with your advisor. This documentation could prove crucial if you’ve experienced losses.
Calculate Your Losses: If you’ve suffered investment losses, determine the exact amounts and timeframes involved. This information helps legal professionals assess your situation.
Understand Your Rights: Securities regulations exist to protect investors. You may have options for recovering losses if unsuitable investments were recommended.
Why Suitability Matters
Financial advisors have a fundamental obligation to recommend investments appropriate for each client’s unique situation. This includes considering:
- Risk tolerance – How much volatility can you comfortably handle?
- Investment timeline – When will you need access to your funds?
- Financial goals – What are you trying to achieve?
- Overall financial picture – How do investments fit your complete situation?
When advisors recommend unsuitable investments, the consequences can devastate retirement plans and financial security. That’s why regulatory oversight and investor protection laws exist.
Taking Action: Your Next Steps
Time matters in investment loss cases. Statutes of limitations can affect your ability to recover losses, making prompt action essential. Here’s what you should consider:
First, don’t panic. While the situation requires attention, hasty decisions rarely lead to positive outcomes. Instead, take measured steps to protect your interests.
Second, avoid direct confrontation with your advisor about potential claims. Legal representation ensures your rights remain protected throughout any recovery process.
Third, understand that you’re not alone. Many investors face similar situations, and resources exist to help you navigate these challenges.
How Haselkorn & Thibaut Can Help
With over 50 years of experience in securities fraud cases, Haselkorn & Thibaut maintains a 98% success rate in helping investors recover losses. The firm has recovered millions for clients nationwide, operating on a no recovery, no fee basis.
Investment losses don’t have to be permanent. If you’ve worked with Tom Hulick or Strategy Asset Managers and experienced losses, especially involving closed-end funds or other complex investments, professional legal guidance can make a significant difference.
The investigation into Tom Hulick’s activities continues, and affected investors need experienced representation to protect their interests. Don’t let uncertainty about your situation prevent you from exploring your options.
Take the first step toward protecting your financial future. Contact Haselkorn & Thibaut today for a free, confidential consultation about your Tom Hulick or Strategy Asset Managers investments. Call 1-888-628-5590 to speak with an experienced investment fraud attorney who can evaluate your situation and explain your options. Remember, there’s no fee unless they recover money for you.
Your financial security matters. If you’ve suffered investment losses with Tom Hulick or any financial advisor, don’t wait to explore your rights. The sooner you act, the better positioned you’ll be to recover what you’ve lost.
For more information about Tom Hulick’s background and regulatory history, visit FINRA BrokerCheck.
