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Yu Oen

Hightower Advisors, LLC

Princeton Junction, NJ

Chicago, IL

Cleveland, OH

CRD 5746850

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Employer firm

Hightower Advisors, LLC CRD 145323

$199B regulatory AUM 500 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-06-16
OH RA APPROVED 2022-10-31
  • NJ RA
    APPROVED
    Since 2026-06-16
  • OH RA
    APPROVED
    Since 2022-10-31

Branch Locations

Princeton Junction, NJ • United States

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

1350 Euclid Ave. Suite 400, Cleveland, OH 44115 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Optimal Portfolio, Llc Princeton NJ 01/2010 10/2022
Hightower Chicago IL 10/2022 Present
  • 01/2010 → 10/2022
    Optimal Portfolio, Llc
    Princeton, NJ
  • 10/2022 → Present
    Hightower
    Chicago, IL
Previous Registrations
  • 2010-01-20 → 2022-11-11
    Optimal Portfolio, Llc
    Princeton, NJ
    Princeton Junction, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-10-29
  • S65 Uniform Investment Adviser Law Examination
    2009-10-29
Other Names
  • Yu Oen
  • Yu K Oen

View on SEC IAPD

Nearby Firms

STIFEL CAPITAL MANAGEMENT, LLC
PFS INVESTMENTS INC.
PACKERLAND BROKERAGE SERVICES, INC.

Nearby Investors

JOHN POCCESCHI
MICHAEL JOSEPH SMITH
TEVIN GIBSON

Nearby Offices

STIFEL CAPITAL MANAGEMENT, LLC · Princeton Junction, NJ
PFS INVESTMENTS INC. · WEST WINDSOR, NJ
PACKERLAND BROKERAGE SERVICES, INC. · Princeton Junction, NJ

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