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Derek C. Mazza

Some features on this profile are disabled
CRD#: 4862422
DM

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.

Derek Charles Mazza, who also goes by Derek C Mazza, Derek Charles Mazza, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2004. Derek had worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek C Mazza | Derek Charles Mazza

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

June 1, 2023 - June 30, 2025

PACIFIC OAK CAPITAL MARKETS, LLC

BD
CRD#: 309350
COSTA MESA, CA
Past

January 3, 2023 - May 23, 2023

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

January 20, 2016 - September 1, 2022

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 21, 2008 - December 4, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
BOSTON, MA
Past

September 14, 2007 - March 24, 2008

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

September 19, 2006 - May 15, 2007

BOSTON CAPITAL SECURITIES, INC.

BD
CRD#: 14611
BOSTON, MA
Past

December 3, 2004 - August 29, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

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
IAR
Series 65
Date: 4/9/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/14/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2004
General Securities Representative Examination

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
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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

Documents

Direct owners and executive officers

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

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.

Company Information

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350

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