PO
Philippe R. Oertle
CATALINA CAPITAL GROUP
Torrance, CA 90505
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CRD#: 5192671
PO
Professional summary
Philippe Robert Oertle, who also goes by Philippe Oertle, is a registered financial advisor currently at CATALINA CAPITAL GROUP, LLC located in Torrance, California.
Philippe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Philippe has worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philippe Oertle
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.
CITY OF LA CANADA FLINTRIDGE PARKS AND RECREATION COMMISSION; COMMISSIONER; INVESTMENT RELATED: NO; ONE CIVIC CENTER DRIVE, LA CANADA FLINTRIDGE, CA 91011; THE PARKS AND RECREATION COMMISSION WORKS WITH LOCAL SCHOOLS, PRIVATE AND NON-PROFIT SERVICE PROVIDERS TO ENSURE THAT EXISTING RECREATIONAL SERVICES AND FACILITIES ARE MADE AVAILABLE AND ARE COORDINATED IN ORDER TO MAXIMIZE THEIR USE.; DUTIES: ADVISE THE CITY COUNCIL AND CITY MANAGER ON MATTERS RELATED TO THE PARKS AND RECREATION AS PRESCRIBED BY THE CITY'S ORDINANCES. FOCUS ATTENTION ON SPECIFIC ISSUES AND PROBLEMS AND RECOMMEND ACTIONS AND ALTERNATIVES FOR CITY COUNCIL CONSIDERATION.; 2019-06-10; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 2; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 0.125;
CRS (Client Relationship Summary) - RIA
Click below to view Philippe Robert Oertle's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 11, 2016 - Present
CATALINA CAPITAL GROUP, LLC
Office #1: 2601 Airport Drive Suite 375, Torrance, CA 90505RIA
CRD#: 172556
Torrance, CA
Past
March 27, 2013 - July 11, 2016
FIRST FOUNDATION ADVISORS
RIA
CRD#: 106075
PASADENA, CA
Past
May 29, 2007 - August 9, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
May 29, 2007 - August 9, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
February 2, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LOS ANGELES, CA
Past
October 26, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CATALINA CAPITAL GROUP, LLC
CATALINA CAPITAL GROUP, LLC | SMART HARVEST SOLUTIONS | FINOGY
CRD#: 172556 / SEC#: 801-110269
RIA
Registered Investment Advisory firm - (4/13/2017 Approved)California
Registered Investment Advisory firm - (7/12/2017 Terminated)Florida
Registered Investment Advisory firm - (6/12/2017 Terminated)Texas
Registered Investment Advisory firm - (6/12/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(7/11/2016)
IAR
Texas(8/25/2016)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CC
CATALINA CAPITAL GROUP, LLC
CATALINA CAPITAL GROUP, LLC | SMART HARVEST SOLUTIONS | FINOGY
CRD#: 172556 / SEC#: 801-110269
RIA
Registered Investment Advisory firm - (4/13/2017 Approved)California
Registered Investment Advisory firm - (7/12/2017 Terminated)Florida
Registered Investment Advisory firm - (6/12/2017 Terminated)Texas
Registered Investment Advisory firm - (6/12/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2601 Airport Drive Suite 375, Torrance, CA 90505
Mailing Address
Phone number
(310) 540-5544
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 740 |
| AUM (Assets Under Management) | $ 766,877,957 |
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.
