RM
Roger D. Malcolm
SEQUENT PLANNING
LOCKPORT, NY
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CRD#: 3002268
RM
Professional summary
Roger Dale Malcolm is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Lockport, New York.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Roger has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
1) INSURANCE AGENT WITH FUTURITY FIRST INVESTMENT GROUP - REGISTERED AS INSURANCE AGENT SINCE 7/1999 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. 6852 EAST HIGH STREET, LOCKPORT, NY 14094. FUTURITY FIRST INVESTMENT GROUP IS AFFILIATED WITH SEQUENT PLANNING LLC. 2) KDM WEALTH CONSULTANTS, LLC - PRESIDENT AND CEO. 7/2024 TO PRESENT. ENTITY THROUGH WHICH COMPENSATION IS PAID TO ROGER MALCOLM FOR INSURANCE COMMISSIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Dale Malcolm'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®
NoneExperience
Current
August 16, 2024 - Present
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
LOCKPORT, NY
Past
March 22, 2019 - July 22, 2024
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Wililamsville, NY
Past
March 22, 2019 - July 22, 2024
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
Williamsville, NY
Past
March 25, 2017 - January 3, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WILLIAMSVILLE, NY
Past
March 25, 2017 - January 3, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WILLIAMSVILLE, NY
Past
January 6, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WILLIAMSVILLE, NY
Past
November 7, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WILLIAMSVILLE, NY
Past
October 29, 2010 - November 4, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
AMHERST, NY
Past
May 4, 1998 - November 4, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
AMHERST, 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 York(8/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
