William C. Tucker

SEQUENT PLANNING

ALPHARETTA, GA 30022

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CRD#: 1576023

Professional summary

William Clay Tucker, who also goes by Clay Tucker, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Alpharetta, Georgia.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. William has worked at 22 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clay Tucker

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) The Woodville Group LLC, Investment Related, 3760 Sixes Road, Suite 126, Canton, GA 30114, Insurance Sales, Owner, Started 10/2009, Approximately 60 hours/month devoted, all hours devoted during securities trading hours, Sale of Life Insurance, Long-Term Care and Annuity Sales. 2) Futurity First Insurance Group - Insurance Agent. 1/2023 to Present. Investment Related. Duties include offering insurance products and services to clients and prospects. 2650 Holcomb Bridge Rd., Suite 630, Alpharetta, GA 30022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Clay Tucker'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

January 17, 2023 - Present

SEQUENT PLANNING, LLC

Office #1: 2650 Holcomb Bridge Rd., Suite 630, Alpharetta, GA 30022

RIA

CRD#: 160381

ALPHARETTA, GA

Past

June 19, 2021 - January 10, 2023

CATALYST WEALTH MANAGEMENT

RIA

CRD#: 291138

ATLANTA, GA

Past

July 3, 2017 - June 16, 2021

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Canton, GA

Past

March 8, 2013 - December 20, 2016

ASSET MANAGEMENT STRATEGIES, INC.

RIA

CRD#: 135173

CANTON, GA

Past

January 11, 2010 - January 11, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

SUWANEE, GA

Past

January 4, 2010 - January 11, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

SUWANEE, GA

Past

October 24, 2006 - September 28, 2009

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

KENNESAW, GA

Past

October 18, 2006 - September 28, 2009

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

KENNESAW, GA

Past

August 31, 2004 - September 21, 2004

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

WOODSTOCK, GA

Past

August 31, 2004 - October 12, 2006

IRONSTONE SECURITIES, INC.

RIA

CRD#: 130335

WOODSTOCK, GA

Past

August 31, 2004 - September 21, 2004

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

August 31, 2004 - October 12, 2006

IRONSTONE SECURITIES, INC.

CRD#: 130335

RALEIGH, NC

Past

December 4, 2003 - July 16, 2004

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

ALPHARETTA, GA

Past

October 1, 2003 - July 16, 2004

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

September 17, 2003 - September 30, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 20, 2003 - May 29, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

March 28, 2003 - April 4, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 13, 2002 - April 1, 2003

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

April 12, 2001 - November 6, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 12, 1996 - April 12, 2001

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

Past

December 10, 1993 - January 6, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 5, 1993 - February 6, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 24, 1993 - July 22, 1993

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

July 22, 1992 - May 14, 1993

BUCKHEAD FINANCIAL CORPORATION

CRD#: 18398

Past

November 16, 1990 - December 23, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 16, 1990 - December 23, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 21, 1990 - November 26, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 21, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

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".

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

Georgia
(1/17/2023)

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: 2/29/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/6/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/15/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1990

Investment Company Products/Variable Contracts Representative 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 C. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Clay Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATALYST WEALTH MANAGEMENT

BROOKSTONE WEALTH ADVISORS, LLC

ASSET MANAGEMENT STRATEGIES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

IRONSTONE SECURITIES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

IRONSTONE SECURITIES, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

QUICK & REILLY, INC.

INVEST FINANCIAL CORPORATION

STONEX SECURITIES INC.

MORGAN KEEGAN & COMPANY, LLC

REGIONS INVESTMENT COMPANY, INC.

PRUCO SECURITIES, LLC.

CAPITAL BROKERAGE CORPORATION

DETWILER FENTON WEALTH MANAGEMENT INC

BUCKHEAD FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

SEQUENT PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/29/2012

Series 66

Date: 1/6/2004

Series 63

Date: 1/4/1991

SIE

Date: 10/15/2019

Series 7

Date: 1/3/1991

Series 6

Date: 8/20/1990

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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