David Hsu Email & Phone Number
CCO @ CAPULENT, LLC
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David Hsu Location
- Seattle, WA, US
David Hsu Work
- 2024 -now CCO @
- 2023 -now CCO and CAO @
- 2020 -2023 Public Finance Banker @
- 2017 -2023 CCO @ 280 Securities LLC
- 2015 -2023 Co Founder @
- 2016 -2017 CCO @
- 2012 -2016 Chief Compliance Officer @
- 2015 -2016 Chief Compliance Officer @
- 2005 -2012 CHIEF COMPLIANCE OFFICER @ Stone & Youngberg
- 2003 -2005 SENIOR COMPLIANCE EXAMINER @
- 1999 -2003 REGIONAL COMPLIANCE OFFICER @
David Hsu Education
- The University of North Carolina at Chapel Hill
Bachelor’s Degree (Economics and Psychology)
1995-1999
David Hsu Skills
- Investment Advisory
- Retail Brokerage
- Brokerage
- Fixed Income
- Anti-Money Laundering
- Alternative Investments
- Equity Trading
- Structured Products
- Hedge Funds
- Asset Management
- Asset Backed Securities
- Litigation Support
- AML
- Asset Managment
- Wealth Management
- FINRA
- Brokers
- Due Diligence
- Investments
- Trading
- Series 24
- Equities
- Capital Markets
- Corporate Finance
- Financial Services
- Options
- Series 63
- Mutual Funds
- Mergers & Acquisitions
- Bonds
- Series 7
- Investment Banking
- Securities
- Finance
- Securities Regulation
- USA PATRIOT Act
- Investment Management
- Risk Management
- OFAC
- Operational Risk
- Anti Money Laundering
- Litigation
- Stone
- Regulatory
- Support
- Compliance
- Legal
- House
- Public Relations
- Mergers and Acquisitions
David Hsu Summary
- David Hsu, based in Seattle, WA, US, is currently a CCO at CAPULENT, LLC. David Hsu brings experience from previous roles at Newday Impact Investing, InspereX, 280 Securities LLC and 280 CapMarkets. David Hsu holds a 1995 - 1999 Bachelor’s Degree in Economics and Psychology @ The University of North Carolina at Chapel Hill. With a robust skill set that includes Investment Advisory, Retail Brokerage, Brokerage, Fixed Income, Anti-Money Laundering and more. David Hsu has 3 emails and 2 mobile phone numbers on RocketReach.
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