TB
Thomas R. Bugbee
SEQUENT PLANNING
SCOTTSDALE, AZ 85255
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CRD#: 4994008
TB
Professional summary
Thomas Russell Bugbee, CFP®, who also goes by Tom Bugbee, is a registered financial advisor currently at SEQUENT PLANNING, LLC located in Scottsdale, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Bugbee
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 - 09/2004 TO PRESENT. INVESTMENT RELATED. 8501 E PRINCESS DRIVE, SUITE 210, SCOTTSDALE, AZ 85255. 5% OF TIME SPENT ON THIS ACTIVITY. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS.
2) Futurity First Insurance Group / DBA
Position: Financial Planner - Nature: I am employed by Futurity First Insurance Group but receive no compensation from them. I receive all of my compensation as 1099 income from the broker-dealer - Investment Related: No - Hours: 5 Securities Trading Hours: 0 - Start Date: 08/15/2012 - Address: 8501 E Princess Dr., Suite 210, Scottsdale AZ 85255, United States
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Russell Bugbee'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®
CFP®
Start date: 2012
Experience
Current
March 25, 2020 - Present
SEQUENT PLANNING, LLC
Office #1: 8501 E. Princess Drive Suite 210, Scottsdale, AZ 85255RIA
CRD#: 160381
SCOTTSDALE, AZ
Past
April 13, 2018 - March 12, 2020
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SCOTTSDALE, AZ
Past
April 13, 2018 - March 12, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SCOTTSDALE, AZ
Past
November 2, 2012 - April 23, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
SCOTTSDALE, AZ
Past
September 13, 2012 - April 23, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
SCOTTSDALE, AZ
Past
September 12, 2011 - May 11, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
PHOENIX, AZ
Past
August 25, 2011 - May 11, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
Past
January 21, 2009 - August 11, 2011
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
PHOENIX, AZ
Past
May 13, 2008 - August 11, 2011
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
PHOENIX, AZ
Past
February 10, 2006 - April 22, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PHOENIX, AZ
Past
August 22, 2005 - January 31, 2006
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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(3/25/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
