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PK

Peter J Keim

CRD# 1226521·Registered 2005 - 2024
Previously Registered: Being a previously registered professional could mean that Peter 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.

Professional Summary

Peter J Keim, who also goes by Peter Jonathan Keim, Peter Keim, was a registered financial advisor. Peter was a previously registered financial professional and started their career in finance 2005 - 2024. Peter had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Peter Jonathan Keim, Peter Keim

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

21 years in the financial services industry

Current & Past Employments

SEQUENT PLANNING, LLC·CRD# 160381
RIA
Marietta, OH
January 19, 2022 - April 2, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
RIA
Marietta, OH
August 30, 2017 - December 23, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
BD
Marietta, OH
August 29, 2017 - December 23, 2021
OSAIC FS, INC.·CRD# 3870
RIA
Marietta, OH
May 6, 2009 - September 13, 2017
OSAIC FS, INC.·CRD# 3870
BD
Marietta, OH
March 5, 2009 - September 13, 2017
FSC SECURITIES CORPORATION·CRD# 7461
RIA
Atlanta, GA
September 7, 2007 - March 12, 2009
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
September 5, 2007 - March 12, 2009
EDWARD JONES·CRD# 250
RIA
Marietta, OH
January 25, 2007 - August 9, 2007
EDWARD JONES·CRD# 250
BD
Marietta, OH
May 24, 2005 - August 9, 2007

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Current Firm

SP
SEQUENT PLANNING, LLC

ELEVUS | UNION PLANNING CENTER | SEQUENT PLANNING, LLC | FUTURITY FIRST WEALTH MANAGEMENT

CRD#: 160381 / SEC#: 801-113971
RIA
Registered Investment Advisory firm - SEC (9/10/2018 Approved)
Arizona
Registered Investment Advisory firm - Arizona (9/27/2018 Terminated)
Florida
Registered Investment Advisory firm - Florida (9/27/2018 Terminated)
Iowa
Registered Investment Advisory firm - Iowa (10/1/2018 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (9/27/2018 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (10/12/2018 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (9/28/2018 Terminated)
Nebraska
Registered Investment Advisory firm - Nebraska (9/27/2018 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (10/31/2018 Terminated)
New Jersey
Registered Investment Advisory firm - New Jersey (10/2/2018 Terminated)
North Carolina
Registered Investment Advisory firm - North Carolina (9/27/2018 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (9/27/2018 Terminated)
Oregon
Registered Investment Advisory firm - Oregon (9/27/2018 Terminated)
Texas
Registered Investment Advisory firm - Texas (9/27/2018 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).

Contact Information

Main Address

8807 Indian Hills Drive, Omaha, NE 68114

Phone Number

(402) 953-3544

# of Employees

102

SEC notice filing (41 States and Territories)

Registered to provide investment advisory services in 41 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEQUENT PLANNING LLC ADV PART 2A FIRM BROCHURE (8/14/2026)

Regulatory Assets Under Management

Total Number of Accounts

6,015

AUM (Assets Under Management)

$589,473,003

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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.

(dba) KEIM FINANCIAL SERVICES aka KEIM FINANCIAL SOLUTIONS; Investment Related; 219 Greene Street, Suite 2, Marietta, OH 45750; Insurance and Financial Services; Producer/Owner; Start Date 06/2015; 30 hours per month with 25 of the hours per month occurring during trading hours; Sales and service of Accident, Health, Commission-Based Group Benefits, Disability, Fixed Annuities, Indexed Annuities, Long-Term Care, Traditional Life and Final Expense Life Insurance Products.//HILDEBRAND INSURANCE GROUP, INC.; Non-investment Related; 2600 36th Street, Parkersburg WV 26104; Health Insurance; Agent; Start Date 02/2010; 1 hour per month with no hours per month occurring during trading hours; I have access to the health insurance product firms that The Hildebrand Insurance Group offers.//BIRKSHIRE HATHAWAY HOME SERVICES; Non-investment Related; 315 Third Street, Marietta OH 45750; Buying and Selling Real Estate; Agent; Start Date 09/2019; 25 hours per month with no hours per month during trading hours; Partner with my wife who has been with Berkshire Hathaway Home Services for three+ years in the business of assisting individuals and families purchase and/or sell real estate. Duties include finding out specifics of the property being sold; documenting this info on the MLS system, showing the property to interested buyers and completing the sell. For buyers - to discover what, why, when and price range of the real estate that will meet their needs; to show them properties and assist in the purchase of such properties. Berkshire Hathaway Home Services operates via a franchise model. The local franchise covers Washington County, OH and Wood County, WV.

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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".
SP
SEQUENT PLANNING, LLC

ELEVUS | UNION PLANNING CENTER | SEQUENT PLANNING, LLC | FUTURITY FIRST WEALTH MANAGEMENT

CRD#: 160381 / SEC#: 801-113971
RIA
Registered Investment Advisory firm - SEC (9/10/2018 Approved)
Arizona
Registered Investment Advisory firm - Arizona (9/27/2018 Terminated)
Florida
Registered Investment Advisory firm - Florida (9/27/2018 Terminated)
Iowa
Registered Investment Advisory firm - Iowa (10/1/2018 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (9/27/2018 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (10/12/2018 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (9/28/2018 Terminated)
Nebraska
Registered Investment Advisory firm - Nebraska (9/27/2018 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (10/31/2018 Terminated)
New Jersey
Registered Investment Advisory firm - New Jersey (10/2/2018 Terminated)
North Carolina
Registered Investment Advisory firm - North Carolina (9/27/2018 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (9/27/2018 Terminated)
Oregon
Registered Investment Advisory firm - Oregon (9/27/2018 Terminated)
Texas
Registered Investment Advisory firm - Texas (9/27/2018 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.
This advisor is not registered in any state.

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2005About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2005About the Series 7 exam

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CRS (Client Relationship Summary)

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

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