Gale Edward Chatham

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1993 → 08/2018
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 01/1996 → 08/2018
  Northwestern Mutual Investment Services, Llc
  Irvine, CA
• 01/2016 → 08/2018
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 08/2018 → Present
  Lpl Financial, Llc
  Irvine, CA

Previous Registrations

• 2008-08-01 → 2018-09-05
  Northwestern Mutual Investment Services, Llc
  Irvine, CA
  Corona, CA
  Corona, CA

Other Businesses

1. 8/16/2018 - Eight Oaks Financial and Insurance Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:08/16/2018 - 132 Hours Per Month/6 Hours During Trading - Time Spent: 100%. 2. 03/08/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - Start date:08/16/2018 - 1 hr/mo - 1 hr during trading. 3. 12/10/2019 - Eight Oaks Financial Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/28/2018 - 170 Hours Per Month During Securities Trading. 4. 06/03/2026 - C&R Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2026 - 170 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-07-10
• S63 Uniform Securities Agent State Law Examination
  1997-03-31

Other Names

• Chad Chatham