Philippe R. Oertle

CATALINA CAPITAL GROUP

Torrance, CA 90505

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CRD#: 5192671

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philippe Robert Oertle's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 11, 2016 - Present

CATALINA CAPITAL GROUP, LLC

Office #1: 2601 Airport Drive Suite 375, Torrance, CA 90505

RIA

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.

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

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/2006

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A: DISCLOSURE BROCHURE (2/18/2026)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 616,289,572

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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Philippe R. Oertle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philippe Robert Oertle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATALINA CAPITAL GROUP, LLC

FIRST FOUNDATION ADVISORS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

CATALINA CAPITAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2006

Series 7

Date: 10/25/2006

Current Firm

CATALINA CAPITAL GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATALINA CAPITAL GROUP, LLC

TRUST BUT VERIFY

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