DS
Daniel L. Shuck
SEQUENT PLANNING
LOUISVILLE, KY
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CRD#: 1287728
DS
Professional summary
Daniel Lee Shuck, CFP®, who also goes by Daniel Lee Shuck, Dan Shuck, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Louisville, Kentucky.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Daniel has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Lee Shuck | Dan Shuck
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.
INSURANCE AGENT - 12/1983 to PRESENT; INVESTMENT RELATED, DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. 80 HRS/MONTH SPENT ON THIS ACTIVITY, ALL DURING NORMAL TRADING HOURS-; LOUISVILLE, KY 40243
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Shuck'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®
Experience
Current
April 28, 2023 - Present
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
LOUISVILLE, KY
Past
May 24, 2017 - April 26, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Louisville, KY
Past
May 24, 2017 - April 26, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Louisville, KY
Past
October 11, 2016 - May 16, 2017
MORGAN STANLEY
RIA
CRD#: 149777
LOUISVILLE, KY
Past
October 11, 2016 - May 16, 2017
MORGAN STANLEY
BD
CRD#: 149777
LOUISVILLE, KY
Past
October 10, 2012 - October 13, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Louisville, KY
Past
October 10, 2012 - October 13, 2016
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Louisville, KY
Past
August 3, 2012 - October 4, 2012
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
November 27, 2008 - December 31, 2010
CERTIFIED INVESTMENT SERVICES, INC
RIA
CRD#: 141904
FORT MILL, SC
Past
July 11, 2005 - December 1, 2006
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
LOUISVILLE, KY
Past
November 18, 2004 - December 1, 2006
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
LOUISVILLE, KY
Past
January 13, 2004 - October 21, 2004
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
LOUISVILLE, KY
Past
August 4, 2003 - October 21, 2004
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
November 30, 2001 - October 20, 2004
PRIVATE CLIENT SERVICES, LLC
RIA
CRD#: 120222
LOUISVILLE, KY
Past
July 6, 2001 - August 15, 2003
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
NEWARK, DE
Past
July 9, 1996 - August 15, 2003
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
July 25, 1984 - October 1, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.
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
Kentucky(4/28/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
