AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KC

Kenneth J. Cappelli

SEQUENT PLANNING
Marlton, NJ 08053
Some features on this profile are disabled
CRD#: 2504165
KC

Professional summary

Kenneth James Cappelli, AIF® is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Marlton, New Jersey.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Kenneth has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth James Cappelli'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

March 19, 2026 - Present

SEQUENT PLANNING, LLC

Office #1: 901 Lincoln Drive West Suite 120, Marlton, NJ 08053
RIA
CRD#: 160381
Marlton, NJ
Past

June 14, 2024 - March 11, 2026

OSAIC WEALTH, INC.

RIA
CRD#: 23131
MARLTON, NJ
Past

June 14, 2024 - March 11, 2026

OSAIC WEALTH, INC.

BD
CRD#: 23131
MARLTON, NJ
Past

November 20, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
MARLTON, NJ
Past

November 20, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
MARLTON, NJ
Past

November 8, 2016 - November 23, 2020

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CONSHOHOCKEN, PA
Past

November 8, 2016 - November 23, 2020

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CONSHOHOCKEN, PA
Past

August 29, 2011 - November 8, 2016

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
MARLTON, NJ
Past

August 15, 2011 - November 8, 2016

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
MARLTON, NJ
Past

April 8, 2008 - August 29, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
KING OF PRUSSIA, PA
Past

April 4, 2008 - August 29, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
KING OF PRUSSIA, PA
Past

February 4, 2008 - April 9, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MARLTON, NJ
Past

January 1, 2008 - April 9, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MARLTON, NJ
Past

May 11, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
MARLTON, NJ
Past

June 24, 2005 - May 16, 2007

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MOORESTOWN, NJ
Past

January 19, 2001 - June 7, 2005

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE
Past

May 11, 2000 - January 18, 2001

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

January 10, 2000 - March 7, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 10, 2000 - March 7, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 8, 1998 - March 2, 1999

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

July 24, 1998 - November 19, 1998

STARR SECURITIES, INC.

BD
CRD#: 13336
NEW YORK, NY
Past

February 25, 1997 - July 24, 1998

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

October 30, 1995 - February 6, 1997

STARR SECURITIES, INC.

BD
CRD#: 13336
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.

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
New Jersey
(3/19/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/1/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 10/26/1995
Corporate Securities Limited Representative Examination

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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts5,102
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.

Company Information

SEQUENT PLANNING, LLC

CRD#: 160381Marlton, NJ 08053

TRUST BUT VERIFY

Monitor Kenneth Cappelli

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert Charles Boland
Robert BolandAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
Malvern, PA
Peter F Gaertner
Peter GaertnerAdvisorCheck Check Mark
ROFFMAN MILLER ASSOCIATES INC
IAR
Philadelphia, PA
GJ
Gerald JevicAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Haddon Township, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.