Brandon L. Klippel

VISTA CIMA WEALTH MANAGEMENT LLC

Surprise, AZ

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CRD#: 5598023

Professional summary

Brandon Lee Klippel is a registered financial advisor currently at VISTA CIMA WEALTH MANAGEMENT LLC located in Surprise, Arizona.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brandon has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 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.

MINDSET LEADERSHIP GROUP LLC, NOT INV RELATED, WADDELL, AZ, 51% OWNER/AUTHOR, START: 8/31/2015, 16 HOURS PER MONTH/8 DURING TRADING, DUTIES: COACHING PROFESSIONALS IN VARIOUS INDUSTRIES AND C0-AUTHOR A BOOK. MINDSET POSITIONING, NOT INV RELATED, WADDELL, AZ, CO-AUTHOR, START: 12/19/2016, 4 HOURS PER MONTH/0 DURING TRADING, DUTIES: CO-AUTHOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Lee Klippel'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®

None

Experience

Current

September 13, 2019 - Present

VISTA CIMA WEALTH MANAGEMENT LLC

RIA

CRD#: 304672

Surprise, AZ

Past

February 5, 2016 - September 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SURPRISE, AZ

Past

January 22, 2016 - September 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SURPRISE, AZ

Past

December 17, 2008 - January 25, 2016

EDWARD JONES

RIA

CRD#: 250

SURPRISE, AZ

Past

November 19, 2008 - January 25, 2016

EDWARD JONES

CRD#: 250

SURPRISE, AZ

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".

VISTA CIMA WEALTH MANAGEMENT LLC

CIMA CAPITAL LLC | VISTA CIMA WEALTH MANAGEMENT LLC | CIMA CAPITAL WEALTH MANAGEMENT

CRD#: 304672 / SEC#: 801-130066

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (5/2/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(9/13/2019)

IAR

Texas
(10/8/2019)

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

IAR

Series 66

Date: 12/4/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/18/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/10/2016

General Securities Sales Supervisor - General Module Examination

Current Firm

VISTA CIMA WEALTH MANAGEMENT LLC

CIMA CAPITAL LLC | VISTA CIMA WEALTH MANAGEMENT LLC | CIMA CAPITAL WEALTH MANAGEMENT

CRD#: 304672 / SEC#: 801-130066

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (5/2/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/2/2024 Terminated)

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Contact information

Main Address

Surprise, AZ

Mailing Address

Phone number

(623) 230-4110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-VISTA CIMA WEALTH MANAGEMENT (3/26/2025)

Regulatory assets under management

Total Number of Accounts	682
AUM (Assets Under Management)	$ 116,854,823

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.

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Firm Stability Insights

Brandon L. Klippel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Lee Klippel's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

VISTA CIMA WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/18/2008

Series 9

Date: 8/18/2016

Series 10

Date: 8/10/2016

Current Firm

VISTA CIMA WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISTA CIMA WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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