Timothy S. Hartzell

SEQUENT ASSET MANAGEMENT

Houston, TX 77024

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CRD#: 1044121

Professional summary

Timothy Shawn Hartzell, CFA is a registered financial advisor currently at SEQUENT ASSET MANAGEMENT, LLC located in Houston, Texas.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Timothy has worked at 8 firms and has passed the Series 63, Series 3, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

OWNER OF HARTZELL, LLC - FINRA ARBITRATOR AND CFA GRADER. TIME SPENT - APPROXIMATELY 3 WEEKS PER YEAR. OWNER OF HART.HOFF, LLC. TIME SPENT - LESS THAN 1 HOUR PER YEAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Shawn Hartzell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

September 18, 2008 - Present

SEQUENT ASSET MANAGEMENT, LLC

Office #1: 952 Echo Lane, Suite 312, Houston, TX 77024

RIA

CRD#: 148194

Houston, TX

Past

December 14, 2007 - November 14, 2008

LEGACY ASSET MANAGEMENT, INC.

RIA

CRD#: 111423

HOUSTON, TX

Past

November 16, 2001 - October 28, 2002

ALLSPRING GLOBAL INVESTMENTS, LLC

RIA

CRD#: 104973

HOUSTON, TX

Past

September 11, 1989 - December 14, 1990

CM&M FUTURES INC.

CRD#: 15845

Past

September 11, 1989 - August 25, 1994

HSBC SECURITIES (USA) INC.

CRD#: 19585

Past

March 7, 1989 - September 27, 1989

SOCIETY INVESTMENTS, INC.

CRD#: 17656

Past

October 30, 1986 - November 19, 1988

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

Past

July 22, 1982 - November 4, 1983

A. G. EDWARDS & SONS, INC.

CRD#: 4

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEQUENT ASSET MANAGEMENT, LLC

CRD#: 148194 / SEC#: 801-69523

RIA

Registered Investment Advisory firm - (8/29/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/18/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/16/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/1/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/1/1989

Municipal Securities Principal Examination

Current Firm

SEQUENT ASSET MANAGEMENT, LLC

CRD#: 148194 / SEC#: 801-69523

RIA

Registered Investment Advisory firm - (8/29/2008 Approved)

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Contact information

Main Address

952 Echo Lane, Suite 312, Houston, TX 77024

Mailing Address

Phone number

(713) 467-0008

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEQUENT - FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 972,706,762

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/26/2025	Cover Page	Report
01/17/2024	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Timothy S. Hartzell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Shawn Hartzell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY ASSET MANAGEMENT, INC.

ALLSPRING GLOBAL INVESTMENTS, LLC

CM&M FUTURES INC.

HSBC SECURITIES (USA) INC.

SOCIETY INVESTMENTS, INC.

J.P. MORGAN SECURITIES OF TEXAS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SEQUENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/1983

Series 3

Date: 11/1/1991

Series 7

Date: 7/17/1982

Series 53

Date: 6/1/1989

Current Firm

SEQUENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEQUENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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