Last Updated: October 2025 — Woodcliff Lake, NJ
Here’s what you need to know about Woodcliff Lake, NJ financial professional Thomas Woodward Hulick:
- Name: Thomas Woodward Hulick
- Current Employer: Strategy Asset Managers, LLC — CEO & Chief Compliance Officer; Investment Adviser Representative (2018–present) (Woodcliff Lake, NJ).
- Prior Firms: Newbridge Securities Corporation (Boca Raton, FL) 03/2019–05/2020; Monarch Bay Securities, LLC (El Segundo, CA) 10/2014–10/2016; UVest Financial Services Group, Inc. (Ontario, CA) 11/2007–09/2010; UBS Financial Services Inc. (Los Angeles, CA) 01/2005–10/2007; Banc of America Investment Services, Inc. (Boston, MA) 01/2003–01/2005; Morgan Stanley DW Inc. (Purchase, NY) 07/1995–12/2002.
- Other Business Affiliations:
- Hulick Capital Mgmt, LLC (DBA) — CEO/CCO/Founder (investment advisory), Pasadena, CA.
- Strategy Asset Managers, LLC — CEO & CCO (investment advisory), New Jersey.
- Strategy Insurance Services, LLC — Owner & Insurance Agent, Pasadena, CA.
- CRD number: 1806305.
- Stockbroker / Financial Advisor: Not currently a registered broker; active as an investment adviser representative.
- Can Broker be Sued in FINRA: Yes — investors may pursue FINRA arbitration for conduct while associated with a FINRA member firm.
- Current Customer Dispute Seeks Total Damages of: $500,000 (pending customer written complaint).
If you’ve sustained damages from Mr. Hulick, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Thomas W. Hulick As Your Stockbroker/Adviser?
- Pending customer dispute (reported 08/25/2025): A client alleged failure to supervise an unsuitable recommendation in a closed-end income fund while Mr. Hulick was associated with Strategy Asset Managers, LLC. Claimed damages: $500,000. No FINRA case number is listed in the BrokerCheck disclosure (it is a customer written complaint, not an arbitration filing).
- Prior customer complaint (received 11/15/2001): While at Morgan Stanley DW Inc., a client alleged unsuitablerecommendations in several listed equities; the firm denied the complaint on 02/28/2002. Alleged damages: $16,000.
Allegations of Broker Misconduct Against Thomas Woodward Hulick
- Unsuitability — recommending or failing to correct recommendations inconsistent with a customer’s profile can violate FINRA Rule 2111 (Suitability) when made in a broker capacity. The 2001 complaint alleged unsuitable equity recommendations.
- Failure to Supervise — firms and responsible persons must establish and maintain supervisory systems under FINRA Rule 3110; the 2025 customer complaint alleges failure to supervise a closed-end fund recommendation at Strategy Asset Managers.
Note: The 2025 item is a customer complaint (pending) rather than a filed FINRA arbitration; allegations are unproven unless and until adjudicated or settled.
Recover Your Investment Losses Now With Rex Securities Law
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If you have suffered investment losses in an account handled by Thomas Woodward Hulick, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.