Hans D. Henselman

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CRD#: 2320564

Professional summary

Being a previously registered professional could mean that this person 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.

Hans Dieter Henselman, who also goes by Hans Henselman, was a registered financial professional .

Hans is a previously registered financial professional and started their career in finance in 1993. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Hans Henselman

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 19, 2022 - August 27, 2025

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350

COSTA MESA, CA

Past

December 10, 2020 - June 8, 2021

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350

COSTA MESA, CA

Past

May 29, 2020 - December 31, 2020

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

CHICAGO, IL

Past

December 6, 2005 - November 8, 2018

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

NEWPORT BEACH, CA

Past

February 13, 2002 - May 1, 2002

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

July 26, 1999 - February 16, 2005

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

February 3, 1998 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 14, 1997 - December 2, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 27, 1993 - July 14, 1997

ASB FINANCIAL SERVICES

CRD#: 24280

IRVINE, CA

Past

March 5, 1993 - September 29, 1993

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 5/16/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1994

General Securities Principal Examination

Current Firm

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350 / SEC#: , 8-70537

Terminated by SEC on 08/29/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/26/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PACIFIC OAK HOLDING GROUP, LLC	OWNER
HENSELMAN, HANS DIETER	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	2320564
THORNTON, STEVEN LEE	FINOP	4496384

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Hans D. Henselman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PACIFIC OAK CAPITAL MARKETS, LLC

ARETE WEALTH MANAGEMENT, LLC

KBS CAPITAL MARKETS GROUP LLC

DIME SECURITIES, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

ASB FINANCIAL SERVICES

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1993

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/3/1993

Series 14

Date: 1/2/2023

Series 4

Date: 5/16/1997

Series 24

Date: 6/22/1994

Current Firm

PACIFIC OAK CAPITAL MARKETS, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PACIFIC OAK CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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