Roger Dale Malcolm
Investment Adviser Representative at Sequent Planning, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Roger Dale Malcolm is an investment adviser representative with Sequent Planning, LLC in Lockport, NY, where they have been registered since 2024. They have worked in the securities industry since 1998 and have been registered with 5 firms, including Bankers LIFE Advisory Services, Inc. and MML Investors Services, LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in New York.
Registrations & licenses
- Investment adviser:
- New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- MSI Financial ServicesOct 2016 – Jan 2019Williamsville, NY
- Massachusetts Mutual Life Insurance CompanyOct 2016 – Jan 2019Springfield, MA
- MML Investors Services, LLCMar 2017 – Jan 2019Williamsville, NY
- Bankers Life & Casualty, IncJan 2019 – Jul 2024Williamsville, NY
- Bankers Life Securities, IncMar 2019 – Jul 2024Williamsville, NY
- Bankers LIFE Advisory Services, IncMar 2019 – Jul 2024Williamsville, NY
- Sequent Planning LLCAug 2024 – no end date reportedLockport, NY
- KDM Wealth Consultants, LLCJul 2024 – no end date reportedLockport, NY
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Sequent Planning, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 95
- Offices listed on AdvisorFinder:
- 24
- Main office:
- Omaha, NE
- SEC file number:
- 801-113971
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 14, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roger Dale Malcolm has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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