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David J. Oldenburg
SEQUENT PLANNING
FOND DU LAC, WI 54935
Some features on this profile are disabled
CRD#: 4653469
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Professional summary
David James Oldenburg is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Fond Du Lac, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 8 firms and has passed the Series 66 and Series 7 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) Oldenburg Financial - President and Insurance Agent. 11/2007 to Present. Investment-related. 976 E Johnson St #1000, Fond du Lac,WI 54935. Duties include offering insurance products and services to clients and prospects. Hours to business/month: 200 hours. Hours to securities/day: On average 2 to 3.
2) Sports Official - Independent Contractor. 1979 to Present. Not
investment-related. 655 Prairie Road, Fond Du Lac, WI 54933. Minimal time spent on this activity, none during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view David James Oldenburg'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
April 1, 2019 - Present
SEQUENT PLANNING, LLC
Office #1: 976 E. Johnson Street #1000, Fond Du Lac, WI 54935RIA
CRD#: 160381
FOND DU LAC, WI
Past
October 22, 2013 - March 29, 2019
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
FOND DU LAC, WI
Past
August 5, 2011 - October 8, 2013
PILLAR WEALTH MANAGEMENT CO.
RIA
CRD#: 118225
MADISON, WI
Past
February 18, 2010 - August 3, 2011
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
FOND DU LAC, WI
Past
August 25, 2009 - February 17, 2010
GRADIENT INVESTMENTS, LLC
RIA
CRD#: 141726
FONDULAC, WI
Past
November 9, 2007 - August 13, 2009
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
MADISON, WI
Past
November 9, 2007 - August 13, 2009
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
MADISON, WI
Past
May 12, 2005 - May 12, 2005
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
FOND DU LAC, WI
Past
February 1, 2005 - November 21, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
FOND DU LAC, WI
Past
November 3, 2003 - February 3, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
June 2, 2003 - June 27, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Wisconsin(4/1/2019)
Exams
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
