NF
Nathaniel J. Facarazzo
SEQUENT PLANNING
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 4727297
NF
Professional summary
Nathaniel J Facarazzo, who also goes by Nate Facarazzo, Nathaniel John Facarazzo, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Scottsdale, Arizona.
Nathaniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Nathaniel has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Facarazzo | Nathaniel John Facarazzo
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.
SOLICITATION OF FIXED AND INDEXED LIFE AND ANNUITANTS THROUGH INBOUND AND OUTBOUND TELEPHONE, EMAIL AND VIDEO CONFERENCE. RECEIVE A MONTHLY BASE SALARY PLUS COMMISSION ON FIRST YEAR ANNUAL PREMIUM
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel J Facarazzo'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
February 14, 2018 - Present
SEQUENT PLANNING, LLC
Office #1: 8501 E. Princess Drive Suite 210, Scottsdale, AZ 85255RIA
CRD#: 160381
Scottsdale, AZ
Past
May 28, 2014 - October 31, 2016
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
FOUNTAIN HILLS, AZ
Past
April 27, 2010 - February 14, 2014
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
March 19, 2010 - February 14, 2014
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
January 29, 2007 - January 5, 2010
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
November 10, 2003 - August 16, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
GLENDALE, AZ
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
Arizona(2/14/2018)
IAR
Nevada(5/31/2018)
IAR
Texas(2/26/2019)
Exams
State Security Law Exam
State Security Law Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
