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Brian Penney

Sequent Planning, LLC
23 Years of Experience
Waddell, AZ
2 Disclosures
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Brian Penney is a registered investment advisor at Sequent Planning, LLC, based in Waddell, AZ, with 23 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Corporate Executives, Education Planning, Estate Planning, and 5 more. Their firm serves 6,015 clients with $590M in assets under management.

Sequent Planning, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
100 advisors
Number of Clients
6,015 clients
Average Client Portfolio
$98K average
Assets Under Management
$589.5M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.75%

Sequent Planning sets an annual fee cap of 1.75%. Individual investment adviser representatives have discretion to set fees within this limit, and fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Waddell, AZ

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
April 2019
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Sequent Planning, LLC
March 2026 - Present · 7 mos
Previous Registrations
Packerland Brokerage Services, INC.
August 2025 - March 2026 · 7 mos
Packerland Brokerage Services, INC.Broker
November 2023 - March 2026 · 2 yrs 4 mos
Berthel, Fisher & Company Financial Services, INC.Broker
December 2019 - November 2023 · 3 yrs 11 mos
Cabot Lodge Securities LLCBroker
September 2019 - December 2019 · 3 mos
Ifs SecuritiesBroker
May 2019 - October 2019 · 5 mos
Lion Street Financial, LLCBroker
February 2017 - May 2019 · 2 yrs 3 mos
Cetera Advisors LLCBroker
October 2015 - February 2017 · 1 yr 4 mos
Woodbury Financial Services, INC.Broker
November 2008 - November 2015 · 7 yrs
Countrywide Investment Services, INC.Broker
May 2006 - September 2008 · 2 yrs 4 mos
Wm Financial Services, INC.Broker
October 2004 - April 2006 · 1 yr 6 mos
Ameritas Investment CORP.Broker
October 2003 - September 2004 · 11 mos
Banc One Securities CorporationBroker
February 2001 - October 2001 · 8 mos
State Registrations1 state
AZ
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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