DB
Daniel A. Breisacher
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CRD#: 2283015
DB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Andre Breisacher, who also goes by Daniel A Breisacher, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel A Breisacher
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) RENTAL PROPERTIES POSITION: Co-Owner and Landlord NATURE: Real Estate Development Rental and Leasing. INVESTMENT RELATED: No. NUMBER OF HOURS: 6, SECURITIES TRADING HOURS: 0 START DATE: 11/19/1996 ADDRESS: 6307 South Rice Ave, Bellaire TX 77401, United States DUTIES: Admin duties and upkeep of property 2) SOCIEDAD GRUPO LA TOTUMA POSITION: Co-owner and landlord of rental property in Jaco Costa Rica NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 1, SECURITIES TRADING HOURS: 0 START DATE: 06/20/2016 ADDRESS: 6307 South Rice Ave, Bellaire TX , United States DUTIES: Admin duties and upkeep of property 3) INSURANCE AGENT - 11/1999 TO PRESENT. INVESTMEMNT RELATED: YES DUTIES: OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. ADDRESS: 6307 SOUTH RICE AVE., BELLAIRE, TX 77401
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 7, 2022 - October 4, 2023
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
BELLAIRE, TX
Past
September 23, 2019 - December 14, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
September 5, 2019 - December 14, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
June 3, 2013 - April 5, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HOUSTON, TX
Past
May 30, 2013 - April 5, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HOUSTON, TX
Past
January 1, 2010 - April 20, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
January 1, 2010 - April 20, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
May 25, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
RIA
CRD#: 107726
HOUSTON, TX
Past
May 25, 2005 - January 1, 2010
UBS INTERNATIONAL INC.
BD
CRD#: 107726
HOUSTON, TX
Past
October 22, 1992 - May 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
October 11, 1992 - May 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
