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RIA / WealthAdvisor35 years in industry

WILLIAM CLAY TUCKER

Advisor at SEQUENT PLANNING, LLC

ALPHARETTA, GA | OMAHA, NE

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Search this name across graphsid dfx:ria:d5b06e0b-74af-b8f3-a288-043d5d2abff3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SEQUENT PLANNING, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 4, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Jan 4, 1991
First registration: Dec 4, 2003
Dual registered: no
Other names: CLAY TUCKER
IAPD individual key: 1576023

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SEQUENT PLANNING, LLC	Independent wealth	Jan 17, 2023	n/a	yes	ALPHARETTA, GA\|OMAHA, NE	Current employment
CATALYST WEALTH MANAGEMENT	Former SEC adviser	Jun 19, 2021	Jan 10, 2023	no	ATLANTA, GA	Previous registration
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	Jul 3, 2017	Jun 16, 2021	no	Canton, GA\|Baton Rouge, LA	Previous registration
ASSET MANAGEMENT STRATEGIES, INC.	Independent wealth	Mar 8, 2013	Dec 20, 2016	no	CANTON, GA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jan 11, 2010	Jan 11, 2010	no	SUWANEE, GA	Previous registration
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Oct 24, 2006	Sep 28, 2009	no	KENNESAW, GA\|KENNESAW, GA\|KENNESAW, GA\|CHARLOTTE, NC\|CHARLOTTE, NC\|CARTERSVILLE, GA	Previous registration
IRONSTONE SECURITIES, INC.	n/a	Aug 31, 2004	Oct 12, 2006	no	WOODSTOCK, GA	Previous registration
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Aug 31, 2004	Sep 21, 2004	no	WOODSTOCK, GA	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Dec 4, 2003	Jul 16, 2004	no	ALPHARETTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CATALYST WEALTH MANAGEMENT	SEQUENT PLANNING, LLC	Jan 10, 2023	Jan 17, 2023	7	Firm change	RIA to RIA
BROOKSTONE WEALTH ADVISORS, LLC	CATALYST WEALTH MANAGEMENT	Jun 16, 2021	Jun 19, 2021	3	Firm change	RIA to RIA
ASSET MANAGEMENT STRATEGIES, INC.	BROOKSTONE WEALTH ADVISORS, LLC	Dec 20, 2016	Jul 3, 2017	195	Firm change	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	ASSET MANAGEMENT STRATEGIES, INC.	Jan 11, 2010	Mar 8, 2013	1,152	Firm change after gap	Other
BB&T INVESTMENT SERVICES, INC.	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Sep 28, 2009	Jan 11, 2010	105	Firm change	Other
IRONSTONE SECURITIES, INC.	BB&T INVESTMENT SERVICES, INC.	Oct 12, 2006	Oct 24, 2006	12	Firm change	Other
FIRST CITIZENS INVESTOR SERVICES, INC.	IRONSTONE SECURITIES, INC.	Sep 21, 2004	Aug 31, 2004	-21	Firm change	Other
FIRST HORIZON ADVISORS, INC	FIRST CITIZENS INVESTOR SERVICES, INC.	Jul 16, 2004	Aug 31, 2004	46	Firm change	Other

Relationships

Registered with (9)

→ SEQUENT PLANNING, LLCRegistered adviserregistration: current employment
Jan 17, 2023 to presentfactForm ADV
→ CATALYST WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jun 19, 2021 to Jan 10, 2023factForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 3, 2017 to Jun 16, 2021factForm ADV
→ ASSET MANAGEMENT STRATEGIES, INC.Registered adviserregistration: previous registration
Mar 8, 2013 to Dec 20, 2016factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 11, 2010 to Jan 11, 2010factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2006 to Sep 28, 2009factForm ADV
→ IRONSTONE SECURITIES, INC.Registered adviserregistration: previous registration
Aug 31, 2004 to Oct 12, 2006factForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Aug 31, 2004 to Sep 21, 2004factForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Dec 4, 2003 to Jul 16, 2004factForm ADV

Dated events

Occurred
Jan 10, 2023
Advisor changed firm
William Clay Tucker left Catalyst Wealth Management for Sequent Planning, Llc (registered 2023-01-17)
Form ADVobserved 5 days ago