EO
Eric Y. Oh
CHATTERTON & ASSOCIATES
Anaheim, CA 92806
Some features on this profile are disabled
CRD#: 5488041
EO
Professional summary
Eric Y. Oh, CFP®, ChFC® is a registered financial advisor currently at CHATTERTON & ASSOCIATES located in Anaheim, California and OSAIC WEALTH, INC. located in Anaheim, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Eric has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) INVESTMENT ADVISOR; INVESTMENT-RELATED; 3061 E LA PALMA AVE, ANAHEIM, CA 92806; INVESTMENT ADVISOR; 06/25/2008; 160 HOURS/ 90 SECURITIES HOURS; I AM A REGISTERED REP WITH AN INDEPENDENT RIA. OUR INVESTMENT ADVISORY SERVICES ARE LIMITED TO FEE-BASED PRODUCTS ONLY... 2) INSURANCE POSITION: Statutory Agent - NATURE: Registered Investment Adviser - INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/24/2009; ADDRESS: 3061 E La Palma Ave, Anaheim CA 92806 DESCRIPTION: Insurance - selling and maintaining VA transferred to us from new clients - we primarily do not engage in VA sales 3) CHATTERTON & ASSOC INVESTMENT ADVISORY POSITION: Financial Planner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/25/2008 ADDRESS: 3061 E La Palma Ave, Anaheim CA 92806, United States DESCRIPTION: I am a Financial Planner with an Independent RIA (Chatterton & Associates, Inc.) - Engaged in Fee-Based Investments only utilizing SEI Private Trust Company.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Y. Oh'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®
CFP®
Start date: 2011
Experience
Current
February 3, 2025 - Present
CHATTERTON & ASSOCIATES
Office #1: 3061 E. La Palma Ave., Anaheim, CA 92806RIA
CRD#: 132295
Anaheim, CA
Current
May 20, 2008 - Present
OSAIC WEALTH, INC.
Office #1: 3061 E La Palma Ave., Anaheim, CA 92806RIA
BD
CRD#: 23131
Anaheim, CA
Past
September 3, 2008 - December 31, 2024
CHATTERTON & ASSOCIATES
RIA
CRD#: 132295
ANAHEIM, 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".
C&
CHATTERTON & ASSOCIATES
CHATTERTON & ASSOCIATES | CHATTERTON & ASSOCIATES, WEALTH MANAGEMENT TEAM | CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.
CRD#: 132295 / SEC#: 801-63394
RIA
Registered Investment Advisory firm - (8/6/2004 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/14/2010)
IAR
Arizona(2/21/2025)
RR
California(6/13/2008)
IAR
California(2/3/2025)
RR
Colorado(2/26/2021)
RR
Connecticut(2/6/2025)
RR
Florida(1/8/2013)
RR
Idaho(10/3/2016)
IAR
Idaho(2/3/2025)
RR
Michigan(2/22/2022)
RR
Minnesota(3/26/2018)
RR
Montana(6/28/2023)
RR
Nevada(7/14/2010)
IAR
Nevada(2/3/2025)
RR
New York(5/2/2024)
RR
North Carolina(5/12/2022)
RR
Ohio(8/12/2022)
RR
Oregon(4/24/2013)
IAR
Oregon(4/15/2025)
RR
Rhode Island(7/22/2010)
RR
South Carolina(3/21/2022)
RR
South Dakota(9/25/2023)
RR
Tennessee(12/7/2020)
RR
Texas(11/19/2020)
IAR
Texas(2/3/2025)
RR
Utah(11/11/2010)
IAR
Utah(2/4/2025)
RR
Virginia(9/15/2021)
IAR
Virginia(2/4/2025)
RR
Washington(9/17/2019)
IAR
Washington(2/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
C&
CHATTERTON & ASSOCIATES
CHATTERTON & ASSOCIATES | CHATTERTON & ASSOCIATES, WEALTH MANAGEMENT TEAM | CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.
CRD#: 132295 / SEC#: 801-63394
RIA
Registered Investment Advisory firm - (8/6/2004 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3061 E. La Palma Ave., Anaheim, CA 92806
Mailing Address
Phone number
(714) 572-2050
Established
Firm type
Fiscal year end
# of Employees
34
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,771 |
| AUM (Assets Under Management) | $ 1,173,254,073 |
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.
