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PHILIP EDWARD STEELE

PHILIP E. STEELE

Some features on this profile are disabled
CRD#: 1067453
PHILIP EDWARD STEELE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

PHILIP EDWARD STEELE, AIF® was a registered financial professional .

PHILIP is a previously registered financial professional and started their career in finance in 1982. PHILIP had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Biography

Philip is a Partner with over thirty years of experience in retirement and financial services, and is widely considered a pioneer in the development of using financial planning skills and techniques in corporate plans. These methods, coupled with a “true” independent design platform, result in plan participants receiving actual education as opposed to simple enrollment. Prior to joining Cerity Partners, Philip founded Pension Architects, a firm that designs and manages retirement plans for companies and foundations. He acted as both the President and Chief Executive Officer. Philip began his career in the Baltimore -Washington DC region in 1978 as the principal founder of Steele, Hawes & Johnson, a fee-based financial planning firm. He became a frequent speaker during the 1980s, providing educational workshops to employees in the private sector, as well as to employees at virtually every branch of the Federal government. Pension Architects merged with Cerity Partners in January 2013.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

April 1, 2014 - December 2, 2014

PENSION ARCHITECTS ADVISORY GROUP LLC

RIA
CRD#: 168860
MALIBU, CA
Past

February 13, 2014 - December 2, 2014

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

RIA
CRD#: 164198
MALIBU, CA
Past

November 11, 2010 - February 12, 2013

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
MALIBU, CA
Past

February 29, 2008 - November 12, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
MALIBU, CA
Past

October 15, 2007 - December 31, 2013

PENSION ARCHITECTS ADVISORY GROUP, LLC

RIA
CRD#: 145242
MALIBU, CA
Past

October 31, 2005 - April 18, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
MALIBU, CA
Past

September 15, 1997 - October 31, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

March 30, 1995 - May 16, 1997

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

March 30, 1994 - April 12, 1995

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

September 12, 1985 - August 9, 1990

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

October 6, 1983 - August 29, 1985

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Past

November 15, 1982 - October 17, 1983

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/26/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/1/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/23/1986
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/1995
General Securities Principal Examination

Current Firm

PA
PENSION ARCHITECTS ADVISORY GROUP LLC
PAAG MERGER LLC | PENSION ARCHITECTS ADVISORY GROUP LLC | PENSION ARCHITECTS ADVISORY GROUP

CRD#: 168860 / SEC#: 801-78570

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Contact information

Main Address
6 East 43rd Street, New York, NY 10017
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PENSION ARCHITECTS FORM ADV PART 2A 03.31.16 (3/28/2016)

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.

Company Information

PENSION ARCHITECTS ADVISORY GROUP LLC

PARTNERCRD#: 168860

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Contact information

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