Christopher S. Sullivan
SEQUENT PLANNING
BETHEL ISLAND, CA
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CRD#: 1397857
Professional summary
Christopher Sean Sullivan, CFP®, CLU®, who also goes by Chris Sullivan, Christopher Scan Sullivan, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Bethel Island, California.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Sullivan | Christopher Scan Sullivan
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.
1) INSURANCE AGENT - 4/1986 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. 40% OF TIME SPENT ON THIS ACTIVITY. 3047 DELTA COVES DR., BETHEL ISLAND, CA 94511. 2) I have been elected to a 2-year term as a volunteer President of a non-profit association, Discovery Bay Recreation & Sports, Inc. Not Investment Related. Spend 4 hrs./month on this activity, none during normal trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Sean Sullivan'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®
CFP®
Start date: 2000
Experience
Current
February 22, 2024 - Present
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
BETHEL ISLAND, CA
Past
May 13, 2011 - December 21, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
CONCORD, CA
Past
September 30, 2004 - December 21, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
CONCORD, CA
Past
November 22, 2002 - June 21, 2004
BCG SECURITIES, INC.
BD
CRD#: 70
CHERRY HILL, NJ
Past
March 23, 1995 - December 3, 2002
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
May 15, 1986 - December 23, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 20, 1985 - March 7, 1986
FREEMAN FINANCIAL SERVICES CORPORATION
BD
CRD#: 6722
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
California(2/22/2024)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
