James C. Quinn
SEQUENT PLANNING
ENGLEWOOD, CO 80110
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CRD#: 1466390
Professional summary
James Carroll Quinn, CFP®, who also goes by Jay Quinn, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Englewood, Colorado.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Quinn
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) SENIOR MARKET SALES, INDEPENDENT INSURANCE AGENT - 2016 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. 60% OF TIME SPENT ON THIS ACTIVITY. 3435 S. INCA STREET, SUITE C-116, ENGLEWOOD, CO 80110.
CRS (Client Relationship Summary) - RIA
Click below to view James Carroll Quinn'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: 1991
Experience
Current
April 9, 2024 - Present
SEQUENT PLANNING, LLC
Office #1: 3435 S. Inca Street Suite #c-116, Englewood, CO 80110RIA
CRD#: 160381
ENGLEWOOD, CO
Past
February 18, 2016 - April 8, 2024
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Arvada, CO
Past
February 18, 2016 - April 8, 2024
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Arvada, CO
Past
August 12, 2015 - February 12, 2016
FORTA FINANCIAL GROUP, INC.
RIA
CRD#: 28784
GREENWOOD VILLAGE, CO
Past
August 12, 2015 - February 12, 2016
FORTA FINANCIAL GROUP, INC.
BD
CRD#: 28784
GREENWOOD VILLAGE, CO
Past
July 11, 2013 - August 13, 2015
B. C. ZIEGLER AND COMPANY
RIA
CRD#: 61
GREENWOOD VILLAGE, CO
Past
July 11, 2013 - August 13, 2015
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
GREENWOOD VILLAGE, CO
Past
January 2, 2013 - July 19, 2013
CAPITAL SYNERGY PARTNERS
BD
CRD#: 148733
IRVINE, CA
Past
November 7, 2012 - December 31, 2012
CAPITAL SYNERGY PARTNERS
BD
CRD#: 148733
IRVINE, CA
Past
April 26, 2011 - August 2, 2013
ATHENAINVEST ADVISORS LLC
RIA
CRD#: 146224
GREENWOOD VILLAGE, CO
Past
February 4, 2010 - November 3, 2010
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 3, 2007 - October 2, 2009
WELTON STREET INVESTMENTS LLC
BD
CRD#: 132111
ENGLEWOOD, CO
Past
June 16, 2005 - November 7, 2005
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
December 1, 2004 - June 16, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
February 21, 1991 - August 30, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 2, 1989 - May 18, 1990
BRAUVIN SECURITIES, INC.
BD
CRD#: 14703
CHICAGO, IL
Past
February 19, 1986 - July 5, 1988
CAMERON, MURPHY & SPANGLER, INC.
BD
CRD#: 6864
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
Colorado(4/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
