Scott L. Lambie

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CRD#: 5162689

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.

Scott Lee Lambie was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 6 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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) SCOTT LAMBIE - INSURANCE AGENT. INVESTMENT-RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS.

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

April 26, 2019 - April 1, 2024

SEQUENT PLANNING, LLC

RIA

CRD#: 160381

APPLETON, WI

Past

February 13, 2015 - February 2, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEENAH, WI

Past

July 22, 2013 - January 7, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

APPLETON, WI

Past

May 2, 2013 - January 7, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

APPLETON, WI

Past

April 15, 2013 - April 22, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 7, 2006 - December 8, 2008

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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: 4/26/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/14/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/18/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/26/2006

Investment Company Products/Variable Contracts 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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Scott L. Lambie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

EQUITABLE ADVISORS, LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

SEQUENT PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2019

Series 66

Date: 6/14/2013

Series 63

Date: 7/18/2006

SIE

Date: 2/2/2017

Series 7

Date: 4/12/2013

Series 6

Date: 7/6/2006

Series 26

Date: 7/26/2006

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

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