Tom Hulick, also known as Thomas Woodward Hulick, holds CRD number 1806305 with FINRA. Public records show he is currently registered as an investment adviser and was previously registered as a broker. His BrokerCheck profile lists two customer dispute disclosures, one of which was settled in August 2025 and another that was denied in 2001.
What the BrokerCheck record shows
Hulick’s FINRA BrokerCheck profile identifies him as a previously registered broker who now operates as an investment adviser. The record shows 18 years of experience in the securities industry across six different firms. He currently holds zero state licenses and zero active FINRA registrations.
The profile carries two customer dispute disclosures. One is dated August 25, 2025, and is marked as “Settled.” The second dates to November 15, 2001, and is marked as “Denied.” These disclosures are part of FINRA’s publicly accessible database, which allows investors to review the disciplinary and complaint history of registered representatives.
Disclosures on BrokerCheck are reported by brokerage firms and remain on a representative’s record even after the individual leaves the industry or transitions to a different registration status. A “Settled” status indicates that the matter was resolved through an agreement, while “Denied” means the claim was not upheld.
Registration history across six firms
Hulick’s career spans registrations at six firms between 1995 and 2020. The firms and dates of association are:
| Firm | CRD# | Location | Dates |
|---|---|---|---|
| Morgan Stanley DW Inc. | 7556 | Purchase, NY | 07/28/1995 – 12/19/2002 |
| Banc of America Investment Services, Inc. | 16361 | Boston, MA | 01/27/2003 – 01/08/2005 |
| UBS Financial Services Inc. | 8174 | Los Angeles, CA | 01/12/2005 – 10/16/2007 |
| UVEST Financial Services Group, Inc. | 13787 | Ontario, CA | 11/02/2007 – 09/01/2010 |
| Monarch Bay Securities, LLC | 141391 | El Segundo, CA | 10/07/2014 – 10/25/2016 |
| Newbridge Securities Corporation | 104065 | Boca Raton, FL | 03/26/2019 – 05/12/2020 |
The longest tenure was at Morgan Stanley DW Inc., where Hulick was registered for approximately seven years. His most recent broker registration ended in May 2020 with Newbridge Securities Corporation in Boca Raton, Florida.
Disclosure history in detail
BrokerCheck records show two customer disputes on Hulick’s profile. The first, filed on August 25, 2025, resulted in a settled status. The second, from November 15, 2001, was denied. Both are categorized as customer disputes, which typically involve allegations by clients regarding the conduct of a registered representative.
Customer disputes on BrokerCheck can range from allegations of unsuitable investment recommendations to misrepresentation or failure to supervise. The specific allegations and financial terms of the 2025 settled dispute are not detailed in the public summary view of the BrokerCheck record. The 2001 dispute, marked as denied, indicates that the claim was not found in favor of the customer.
Investors reviewing BrokerCheck records should note that a settled dispute does not constitute an admission of wrongdoing. Settlements are often reached for business reasons and may involve no finding of fault. However, the presence of any disclosure on a broker’s record is a factor that investors may consider when evaluating a financial professional.
What investors should know
BrokerCheck is a free tool maintained by FINRA that provides access to the professional backgrounds of brokers and investment advisers. The database includes employment history, licensing information, and any disciplinary actions or customer disputes reported by firms.
Investors who worked with Tom Hulick during his time at any of the six registered firms can verify his registration status and review the full BrokerCheck report at brokercheck.finra.org/individual/summary/1806305.
When evaluating a financial adviser or former broker, investors should review the complete registration history, examine any disclosed complaints, and consider whether the individual’s background aligns with their expectations for professional conduct and transparency.
Investors who believe they suffered losses related to this matter may wish to consult a qualified securities attorney to review their options.
Disclaimer: This article is based on publicly available FINRA BrokerCheck records and is intended for informational purposes only. It does not constitute legal or investment advice. Investors should conduct their own due diligence and consult qualified professionals before making financial decisions.
