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KT

Katie E. Tennent

HERITAGE ASSET ADVISORS LTD., LLP
Houston, TX
Some features on this profile are disabled
CRD#: 5339813
KT

Professional summary

Katie Elizabeth Tennent, who also goes by Katie Elizabeth Shinn, is a registered financial advisor currently at HERITAGE ASSET ADVISORS LTD., LLP located in Houston, Texas.

Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Katie has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katie Elizabeth Shinn

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Elizabeth Tennent'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®
None

Experience

Current

April 20, 2009 - Present

HERITAGE ASSET ADVISORS LTD., LLP

RIA
CRD#: 144125
Houston, TX

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".
HA
HERITAGE ASSET ADVISORS LTD., LLP
HERITAGE ASSET ADVISORS LTD., LLP

CRD#: 144125 / SEC#: 801-67956

RIA
Registered Investment Advisory firm - (6/6/2007 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
(4/20/2009)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2009
Uniform Investment Adviser Law Examination

Current Firm

HA
HERITAGE ASSET ADVISORS LTD., LLP
HERITAGE ASSET ADVISORS LTD., LLP

CRD#: 144125 / SEC#: 801-67956

RIA
Registered Investment Advisory firm - (6/6/2007 Approved)
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Contact information

Main Address
Houston, TX
Mailing Address
Phone number
(281) 966-3370
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HERITAGE ASSET ADVISORS LTD., LLP WRAP FEE BROCHURE (3/26/2025)
HERITAGE ASSET ADVISORS LTD., LLP MANAGED ACCOUNT WRAP FEE BROCHURE (3/26/2025)
HERITAGE ASSET ADVISORS LTD., LLP FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts790
AUM (Assets Under Management)$ 256,371,629

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.

Company Information

HERITAGE ASSET ADVISORS LTD., LLP

CRD#: 144125Houston, TX

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