Michael D. Chochon

Some features on this profile are disabled

CRD#: 3203736

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.

Michael Douglas Chochon was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 9 firms and has passed the Series 65, Series 7, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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) PRAIRIESMARTS LLC. - CO-FOUNDER. A START-UP IN THE FINANCIAL RISK INDUSTRY SPACE. ADDRESS: 20925 TIMBERLANE DRIVE, OMAHA NE 68022 (MY HOME ADDRESS) NATURE OF BUSINESS: PROVIDER OF FINANCIAL RISK TOOL ON THE WEB. TIME SPENT: 10 HOURS/WEEK. TIME SPENT DURING TRADING HOURS: 2-3 HRS/WEEK. DUTIES: SET UP OF COMPANY; MEET WITH POTENTIAL INVESTORS. 2) PROTEOME LABORATORY LLC, 985900 NE MEDICAL CENTER, STUDY OF PROTEINS (SOFTWARE APPLICATION), CFO ACTIVITIES OF START-UP COMPANY, , 0-5 HOURS PER MONTH DEVOTED (0 DURING SECURITIES TRADING HOURS)

Blog Corner

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®

None

Experience

Past

May 11, 2017 - August 6, 2025

SEQUENT PLANNING, LLC

RIA

CRD#: 160381

OMAHA, NE

Past

June 5, 2012 - May 14, 2013

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

April 21, 2012 - June 5, 2012

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

June 15, 2009 - October 1, 2010

BELLEVUE CHICAGO, LLC

CRD#: 106069

CHICAGO, IL

Past

September 27, 2006 - August 10, 2007

TD WATERHOUSE CAPITAL MARKETS, INC.

CRD#: 116757

BELLEVUE, NE

Past

September 27, 2006 - September 14, 2007

NATIONAL INVESTOR SERVICES CORP.

CRD#: 39410

BELLEVUE, NE

Past

April 27, 2006 - April 6, 2011

TD AMERITRADE CLEARING, INC.

CRD#: 5633

BELLEVUE, NE

Past

April 22, 2006 - April 6, 2011

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, NE

Past

January 12, 2004 - May 26, 2004

AMERITRADE NORTHWEST, INC.

CRD#: 10215

PORTLAND, OR

Past

May 21, 2003 - April 22, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/22/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/24/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/28/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 5/20/2003

Financial and Operations 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael D. Chochon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APEX CLEARING CORPORATION

PENSON FINANCIAL SERVICES, INC.

BELLEVUE CHICAGO, LLC

TD WATERHOUSE CAPITAL MARKETS, INC.

NATIONAL INVESTOR SERVICES CORP.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

AMERITRADE NORTHWEST, INC.

TD AMERITRADE CLEARING, INC.

Primary Firm SEC Registration

SEQUENT PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/2017

Series 7

Date: 11/24/2009

Series 4

Date: 4/28/2010

Series 24

Date: 12/23/2009

Series 27

Date: 5/20/2003

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

Similar Advisors