Philip L. Nagel

AIM CAPITAL

Scottsdale, AZ 85258

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CRD#: 1827270

Professional summary

Philip Lee Nagel, CFP®, ChFC®, CLU® is a registered financial advisor currently at AIM CAPITAL located in Scottsdale, Arizona and LPL FINANCIAL LLC located in Scottsdale, Arizona.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Philip has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Retirement Income Management

Comprehensive Financial Planni...

Estate Planning

Insurance Planning

Life Transitions

Investment Planning

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. 10/16/2009: DBA ONLY - PLN INVESTMENT STRATEGIES, LLC - SCOTTSDALE, AZ. 2. 9/18/2012: REGISTERED INVESTMENT ADVISOR - AIM CAPITAL - CHARGE HOURLY FEES FOR FINANCIAL PLANS AS WELL AS CHARGING A PERCENTAGE FOR ASSETS UNDER MANAGEMENT FOR ADVISORY SERVICES. THIS IS SPELLED OUT IN OUR ADV THAT HAS BEEN APPROVED BY LPL AND IS CURRENTLY BEING REVIEWED BY THE SEC. - (HYBRID) AIM CAPITAL - TIME SPENT 100% - SCOTTSDALE, AZ. 3. 05/06/2019 - AIM Capital - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/18/2012 - 160 hrs/mo - 80 hrs during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lee Nagel'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®

CFP^®

Certified Financial Planner

Start date: 1999

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

October 9, 2012 - Present

AIM CAPITAL

Office #1: 7337 E Doubletree Ranch Road Suite 195, Scottsdale, AZ 85258

RIA

CRD#: 165183

Scottsdale, AZ

Current

October 16, 2009 - Present

LPL FINANCIAL LLC

Office #1: 7337 E Doubletree Ranch Rd Ste 195, Scottsdale, AZ 85258

RIA

CRD#: 6413

Scottsdale, AZ

Past

October 19, 2009 - December 31, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

SCOTTSDALE, AZ

Past

October 30, 2007 - October 28, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

September 14, 1995 - October 28, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

June 16, 1995 - September 25, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 16, 1995 - September 25, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

May 20, 1994 - March 17, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 20, 1994 - March 17, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

AIM CAPITAL

AIM CAPITAL | THE AMERICAN INSTITUTE FOR ADVANCED INVESTMENT MANAGEMENT, LLP

CRD#: 165183 / SEC#: 801-77148

RIA

Registered Investment Advisory firm - (10/4/2012 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.

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

Arizona
(10/16/2009)

IAR

Arizona
(10/9/2012)

California
(1/25/2013)

Massachusetts
(5/25/2021)

IAR

Texas
(1/9/2022)

Washington
(11/28/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/14/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

AIM CAPITAL

AIM CAPITAL | THE AMERICAN INSTITUTE FOR ADVANCED INVESTMENT MANAGEMENT, LLP

CRD#: 165183 / SEC#: 801-77148

RIA

Registered Investment Advisory firm - (10/4/2012 Approved)

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Contact information

Main Address

7337 E Doubletree Ranch Road Suite 195, Scottsdale, AZ 85258

Mailing Address

Phone number

(480) 346-1556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIM CAPITAL ADV PART 2A (2/26/2025)

AIM CAPITAL ADV PART 2A APPENDIX 1 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	453
AUM (Assets Under Management)	$ 291,325,568

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Philip L. Nagel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lee Nagel's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AIM CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2002

Series 63

Date: 5/12/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/4/1994

Series 8

Date: 3/14/1997

FINRA

Current Firm

AIM CAPITAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AIM CAPITAL

TRUST BUT VERIFY

Contact information

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