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HH

Hans Dieter Henselman

CRD# 2320564·Registered 1993 - 2025
Previously Registered: Being a previously registered professional could mean that Hans is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Hans Dieter Henselman, who also goes by Hans Henselman, was a registered financial advisor. Hans was a previously registered financial professional and started their career in finance 1993 - 2025. Hans had worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hans Henselman

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

PACIFIC OAK CAPITAL MARKETS, LLC·CRD# 309350
BD
Costa Mesa, CA
July 19, 2022 - August 27, 2025
PACIFIC OAK CAPITAL MARKETS, LLC·CRD# 309350
BD
Costa Mesa, CA
December 10, 2020 - June 8, 2021
ARETE WEALTH MANAGEMENT, LLC·CRD# 44856
BD
Chicago, IL
May 29, 2020 - December 31, 2020
KBS CAPITAL MARKETS GROUP LLC·CRD# 132299
BD
Newport Beach, CA
December 6, 2005 - November 8, 2018
DIME SECURITIES, INC.·CRD# 28955
BD
Brooklyn, NY
February 13, 2002 - May 1, 2002
PRINCIPAL FUNDS DISTRIBUTOR, INC.·CRD# 43261
BD
Des Moines, IA
July 26, 1999 - February 16, 2005
GREAT WESTERN FINANCIAL SECURITIES CORPORATION·CRD# 14229
BD
Northridge, CA
February 3, 1998 - May 1, 1998
WAMU INVESTMENTS, INC.·CRD# 599
BD
Irvine, CA
July 14, 1997 - December 2, 2005
ASB FINANCIAL SERVICES·CRD# 24280
BD
Irvine, CA
September 27, 1993 - July 14, 1997
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
March 5, 1993 - September 29, 1993

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Current Firm

PO
PACIFIC OAK CAPITAL MARKETS, LLC

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350 / SEC#: 8-70537
BD
Terminated by SEC on 08/29/2025

Contact Information

Established

Delaware since 03/26/2020

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC OAK HOLDING GROUP, LLCOWNER—
HENSELMAN, HANS DIETERCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2320564
THORNTON, STEVEN LEEFINOP4496384

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1993About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1993About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed May 1997About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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