Terry S. Rau

SEQUENCE ANALYTIX

Mattawan, MI

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CRD#: 707796

Professional summary

Terry Scott Rau is a registered financial advisor currently at SEQUENCE ANALYTIX, LLC located in Mattawan, Michigan.

Terry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Terry has worked at 11 firms and has passed the Series 63, Series 6, Series 7, Series 3, Series 53 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

January 2, 2019 - Present

SEQUENCE ANALYTIX, LLC

RIA

CRD#: 299581

Mattawan, MI

Past

December 1, 2000 - November 21, 2001

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

July 24, 1995 - March 25, 1997

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

January 13, 1995 - May 19, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 19, 1992 - August 31, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 25, 1989 - January 27, 1990

DIVERSIFIED FINANCIAL NETWORK

CRD#: 23403

Past

January 1, 1989 - October 17, 1989

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 2, 1988 - June 8, 1988

KORN, WOMACK, STERN AND ASSOCIATES, INC.

CRD#: 16933

Past

May 18, 1984 - September 21, 1987

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

November 18, 1982 - May 15, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 28, 1980 - November 16, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Michigan
(1/2/2019)

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: 1/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/30/2000

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 1/12/1995

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/15/1994

National Commodity Futures Examination

Principal/Supervisory Exam

Series 53

Date: 7/17/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/1995

General Securities Principal Examination

Current Firm

SEQUENCE ANALYTIX, LLC

RANDOM ORDER LLC | SEQUENCE ANALYTIX, LLC

CRD#: 299581 / SEC#:

Michigan

Registered Investment Advisory firm - (1/2/2019 Approved)

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Contact information

Main Address

Mattawan, MI

Mailing Address

Phone number

(269) 352-1743

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	67
AUM (Assets Under Management)	$ 34,267,766

Red Flags

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Firm Stability Insights

Terry S. Rau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Scott Rau's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANC ONE SECURITIES CORPORATION

NATCITY INSURANCE SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

CAPITAL BROKERAGE CORPORATION

DIVERSIFIED FINANCIAL NETWORK

MUTUAL SERVICE CORPORATION

KORN, WOMACK, STERN AND ASSOCIATES, INC.

FIRST OF MICHIGAN CORPORATION

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/1995

Series 6

Date: 11/30/2000

Series 7

Date: 1/12/1995

Series 3

Date: 12/15/1994

Series 53

Date: 7/17/1996

Series 24

Date: 11/14/1995

Current Firm

SEQUENCE ANALYTIX, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEQUENCE ANALYTIX, LLC

TRUST BUT VERIFY

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