HANSEN & ASSOCIATES FINANCIAL GROUP INC. of ROSEVILLE, CA is an SEC-registered investment adviser (CRD 168363). Regulatory assets under management: $202.4M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Mark Steven Hansen | CEO/COO; CEO/COO/CCO; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| HANSEN WILLIAM STEVEN | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Kelsey Watts | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | HAFG PUBLISHED MATERIAL ON ITS PUBLIC WEBSITE THAT CONSTITUTED AN ADVERTISEMENT CONTAINING HYPOTHETICAL PERFORMANCE WITHOUT HAVING IMPLEMENTED POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE THE PERFORMANCE WAS RELEVANT TO THE LIKELY FINANCIAL SITUATION AND INVESTMENT OBJECTIVES OF THE INTENDE… | Final | $50K |