William F. Leake

SEQUENT PLANNING

SUGAR LAND, TX 77478

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CRD#: 1513304

Professional summary

William Fields Leake, who also goes by Fields Leake, William F Leake, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Sugar Land, Texas.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. William has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fields Leake | William F Leake

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 NAME: FUTURITY FIRST FUTURITY FIRST INSURANCE GROUP POSITION: Branch Manager NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 220 SECURITIES TRADING HOURS: 200 START DATE: 08/01/2012 ADDRESS: 77 Sugar Creek Center Boulevard, Suite 400, Sugarland TX 77478 DESCRIPTION: Insurance sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Fields Leake's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 5, 2018 - Present

SEQUENT PLANNING, LLC

Office #1: Three Sugar Creek Center Boulevard Suite 100, Sugar Land, TX 77478

RIA

CRD#: 160381

SUGAR LAND, TX

Past

November 13, 2014 - March 28, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

SUGAR LAND, TX

Past

June 19, 2013 - March 28, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SUGAR LAND, TX

Past

February 3, 2004 - August 3, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HOUSTON, TX

Past

December 19, 2003 - August 3, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

Past

April 3, 2000 - December 18, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

HOUSTON, TX

Past

July 7, 1999 - December 18, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

May 10, 1995 - June 21, 1999

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 21, 1995 - June 15, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 12, 1990 - April 28, 1995

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

October 14, 1988 - January 1, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 21, 1986 - April 28, 1995

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

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)

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.

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

Texas
(3/5/2018)

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

State Security Law Exam

IAR

Series 65

Date: 12/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/19/1986

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 8/20/1986

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2000

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEQUENT PLANNING LLC ADV PART 2A FIRM BROCHURE (8/20/2025)

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.

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Advisor Monitoring

Firm Stability Insights

William F. Leake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Fields Leake's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

1717 CAPITAL MANAGEMENT COMPANY

OSAIC WEALTH, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

MML INVESTORS SERVICES, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

SEQUENT PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/1999

Series 63

Date: 8/20/1986

SIE

Date: 3/28/2018

Series 7

Date: 11/22/1999

Series 6

Date: 9/19/1986

Series 22

Date: 8/20/1986

Series 24

Date: 12/1/2000

Current Firm

SEQUENT PLANNING, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEQUENT PLANNING, LLC

TRUST BUT VERIFY

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