PK
Peter J. Keim
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CRD#: 1226521
PK
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.
Peter J Keim, who also goes by Peter Jonathan Keim, Peter Keim, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2005. Peter had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter Jonathan Keim | Peter Keim
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.
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®
NoneExperience
Past
January 19, 2022 - April 2, 2024
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
MARIETTA, OH
Past
August 30, 2017 - December 23, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
MARIETTA, OH
Past
August 29, 2017 - December 23, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MARIETTA, OH
Past
May 6, 2009 - September 13, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
MARIETTA, OH
Past
March 5, 2009 - September 13, 2017
OSAIC FS, INC.
BD
CRD#: 3870
MARIETTA, OH
Past
September 7, 2007 - March 12, 2009
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
September 5, 2007 - March 12, 2009
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
January 25, 2007 - August 9, 2007
EDWARD JONES
RIA
CRD#: 250
MARIETTA, OH
Past
May 24, 2005 - August 9, 2007
EDWARD JONES
BD
CRD#: 250
MARIETTA, OH
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 - (9/10/2018 Approved)Arizona
Registered Investment Advisory firm - (9/27/2018 Terminated)Florida
Registered Investment Advisory firm - (9/27/2018 Terminated)Iowa
Registered Investment Advisory firm - (10/1/2018 Terminated)Louisiana
Registered Investment Advisory firm - (9/27/2018 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/28/2018 Terminated)Nebraska
Registered Investment Advisory firm - (9/27/2018 Terminated)Nevada
Registered Investment Advisory firm - (10/31/2018 Terminated)New Jersey
Registered Investment Advisory firm - (10/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (9/27/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/27/2018 Terminated)Oregon
Registered Investment Advisory firm - (9/27/2018 Terminated)Texas
Registered Investment Advisory firm - (9/27/2018 Terminated)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
General Industry/Product Exam
General Industry/Product Exam
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 - (9/10/2018 Approved)Arizona
Registered Investment Advisory firm - (9/27/2018 Terminated)Florida
Registered Investment Advisory firm - (9/27/2018 Terminated)Iowa
Registered Investment Advisory firm - (10/1/2018 Terminated)Louisiana
Registered Investment Advisory firm - (9/27/2018 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/28/2018 Terminated)Nebraska
Registered Investment Advisory firm - (9/27/2018 Terminated)Nevada
Registered Investment Advisory firm - (10/31/2018 Terminated)New Jersey
Registered Investment Advisory firm - (10/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (9/27/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/27/2018 Terminated)Oregon
Registered Investment Advisory firm - (9/27/2018 Terminated)Texas
Registered Investment Advisory firm - (9/27/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8420 West Dodge Road Suite 110, Omaha, NE 68114
Mailing Address
Phone number
(402) 953-3544
Established
Firm type
Fiscal year end
# of Employees
91
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,102 |
| AUM (Assets Under Management) | $ 394,657,254 |
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.
