FIRM PROFILE

Sequence Financial Specialists LLC (“Sequence”) works with small to middle market companies to assist our clients’ pursuit of their financial goals by building trusting relationships and utilizing our experience in the transactional process by providing individually tailored financial services and solutions.

Sequence is a FINRA registered broker/dealer firm headquartered in Charleston, SC that provides managing broker dealer and investment banking services. We are Financial Transaction Specialists (“FTS”) with a focus on raising capital for alternative investments, restructuring debt, equity access, M&A consultations and sell side and buy side representation.


PARENT PROFILE

Sequence Holdings LLC, has three subsidiaries: Sequence Financial Specialists LLC, Sequence RealEstate LLC, and InvestAmerica LLC. The firm has offices in Charleston, SC (HQ), Florence, SC, Tampa, FL, Minneapolis, MN, and Los Angeles, CA.


SEQUENCE TEAM

The Sequence team offers a broad base of knowledge in many industries along with significant transaction experience. Comprised of investment banking and consulting professionals, Sequence has a network of both strategic and financial investors. Our team has specific experience in the manufacturing, distribution and service industries. Further, the team has developed a niche in the nuances of closely held businesses both as to their unique needs and concerns regarding tax ramifications.

Our team is led by Mike Xenick, Managing Principal of Sequence and Gene King, Head of Business Development and Senior Managing Director of Sequence. Each brings over 30 years of business, transactional and refinancing experience. Working together, the entire Sequence team offers a deep and unique skill set required to complete successful financial transactions.


SEQUENCE SERVICES

Managing Broker Dealer – Sequence provides Managing Broker Dealer (“MBD”) services for sponsors looking to raise capital through Regulation A+ and Regulation D private placement offerings. Sequence streamlines and simplifies the entire transaction for the sponsor focusing on compliance with FINRA and SEC guidelines and state/federal securities laws.

Sequence offers a four-pronged process for sponsors to be able to access investors for projects:

  • The sponsor hires the wholesalers who would in turn be licensed through Sequence to sell the transaction. Compensation would be through both the sponsor and Sequence.
  • The sponsor provides an agreed upon budget for Sequence to hire the wholesalers to sell the transaction. In this process, the sponsor manages the wholesalers, but Sequence manages the compensation.
  • Sequence, under a marketing budget with the sponsor, hires and manages the wholesalers who sell the transaction. Sequence works with the sponsor to access investors.

Sequence has built a diverse and deep relationship with other broker dealers, wealth advisors, RIAs, CPAs, and individual investors to provide access to capital for the sponsor.

Debt‐Sequence works with companies that need debt for growth capital or restructuring. Often, a company has an opportunity to expand its operations, but needs new capital to accomplish the expansion.

Equity ‐ When arranging an equity transaction for new or additional owners, Sequence helps determine the amount and type of capital to be raised. Each transaction is different and many require a combination of debt and different classes of equity.

Mergers & Acquisitions ‐ We leverage our experiences to provide clients with strategic counsel. On the buy‐side, Sequence represents purchasers in acquiring a targeted business and, when needed, assists in raising capital. On the sell‐side, Sequence represents sellers on an exclusive basis and manages the entire process of selling a company.


RELATIONS

Sequence is interested in establishing relationships for MBD services with companies desiring to raise capital. Sequence continues to build its relationships with broker dealers, wealth advisory firms, RIAs, family offices, and CPAs. Through these relationships, Sequence evaluates, and when appropriate, offers alternative investments for their clients. See contact information below to personally reach out to an individual with Sequence.


Click here to read more and to download the Firm Summary PDF.