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Roger Dale Malcolm

Sequent Planning, LLC

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About Roger Dale Malcolm

Roger Malcolm is a financial advisor at Sequent Planning, LLC, based in Omaha, NE. He offers financial planning, pension consulting, and portfolio management for individuals. Roger has been a financial advisor for over 25 years, and has worked with a variety of clients, including high-net-worth individuals. He is also an insurance agent with Futurity First Investment Group.

Firm Information

Roger Malcolm is currently registered with Sequent Planning, LLC. Sequent Planning, LLC is an investment advisor based in Omaha, NE. The firm provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for individuals. Sequent Planning manages approximately $373,438,734 in discretionary assets for 4,279 clients.
Sequent Planning, LLC

8420 WEST DODGE ROAD

OMAHA, NE 68114

$373.44M

Assets Under Management

49

Total Clients

66

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Roger Malcolm’s Registration & Firm History

NE

08/16/2024 - Present

Sequent Planning, LLC (OMAHA NE)

NY

03/22/2019 - 07/22/2024

BANKERS LIFE SECURITIES, INC. (Williamsville NY)

NY

03/25/2017 - 01/03/2019

MML INVESTORS SERVICES, LLC (WILLIAMSVILLE NY)

NY

11/07/2016 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (WILLIAMSVILLE NY)

NY

05/04/1998 - 11/04/2016

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (AMHERST NY)

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Licenses & Designations

IA

Issued 10/26/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/14/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/21/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Roger Dale Malcolm.
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