Nathan S. Cassel

PLANPILOT

Chicago, IL 60606

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CRD#: 3002795

Professional summary

Nathan S Cassel is a registered financial advisor currently at PLANPILOT located in Chicago, Illinois.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Nathan has worked at 2 firms and has passed the Series 63, Series 6 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan S Cassel'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®

None

Experience

Current

December 12, 2017 - Present

PLANPILOT

Office #1: 223 West Jackson Suite 800, Chicago, IL 60606

RIA

CRD#: 160319

Chicago, IL

Past

November 14, 2000 - September 12, 2012

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

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".

PLANPILOT

PLANPILOT | PLANPILOT, LLC

CRD#: 160319 / SEC#: 801-73176

RIA

Registered Investment Advisory firm - (2/14/2012 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.

Highlighted states indicate IAR registrations

IAR

Texas
(12/12/2017)

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.

Exams

State Security Law Exam

Series 63

Date: 11/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/13/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/21/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PLANPILOT

PLANPILOT | PLANPILOT, LLC

CRD#: 160319 / SEC#: 801-73176

RIA

Registered Investment Advisory firm - (2/14/2012 Approved)

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Contact information

Main Address

223 West Jackson Suite 800, Chicago, IL 60606

Mailing Address

Phone number

(312) 973-4911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 3,714,161,018

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nathan S. Cassel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan S Cassel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANPILOT

FIRST TRUST PORTFOLIOS L.P.

Primary Firm SEC Registration

PLANPILOT

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/2000

Series 6

Date: 11/13/2000

Series 26

Date: 12/21/2000

Current Firm

PLANPILOT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLANPILOT

TRUST BUT VERIFY

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