Tom Hulick: $500K Complaint Against Strategy Asset Advisor

A recent investor complaint against Pasadena, California financial advisor Tom Hulick (CRD# 1806305) alleges that his advice resulted in half a million dollars in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities broker is registered as an investment advisor with Strategy Asset Managers, doing business as Hulick Capital Management.

Mr. Hulick’s BrokerCheck report discloses one investor complaint. Filed in August 2025, it alleges that as a representative of Strategy Asset Managers, he recommended an unsuitable investment in a closed-end fund. The pending complaint alleges damages of $500,000.

In a statement included with the complaint’s disclosure, Mr. Hulick defended himself against the allegations. “Adviser adamantly denies all allegations regarding this client complaint,” the statement claims. “Neither Strategy Asset Managers, LLC nor its representatives earned any compensation whether commissions or advisory fees on this investment. All pertinent information regarding this investment was properly disclosed by Strategy Asset Managers, LLC as part of the prospectus delivery.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Tom Hulick holds 29 years of securities industry experience. Based in Pasadena, California, he has been registered an investment advisor with Strategy Asset Managers since 2018, doing business as Hulick Capital Management. His past registrations include Newbridge Securities Corporation, Holly Street Wealth Advisors, Monarch Bay Securities, Trovena Investment Advisors, First Foundation Advisors, UVest Financial Services Group, UBS Financial Services, Banc of America Investment Services, and Morgan Stanley. His credentials include the passage of five securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Futures Managed Funds Examination, or Series 31. He is licensed in California, New Jersey, and Texas. (Information current as of October 7, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.