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Partner · Heritage Asset Advisors LTD., LLP

Katie E. Tennent

CRD 5339813 · Named on Form ADV at one SEC-registered adviser

At a glance

Heritage Asset Advisors LTD., LLP, an SEC-registered wealth manager with $307 million in regulatory assets, lists Katie E. Tennent on its Form ADV as Partner.

Firms and roles

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Katie’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2009 (17 years)
Designations
None on file
Exams
Series 65
Registered in
1 state
Also a broker representative
No
Disclosures on record
None

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Katie’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
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Previous firms, with start and end dates
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Employment history
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States they’re registered in
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Outside business activities
Locked
When they joined their current firm, and their firm’s growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Anne E. ShinnVice President and Chief Compliance Officer, Heritage Asset Advisors LTD., LLP
  • Laura A. SmithPartner, Heritage Asset Advisors LTD., LLP
  • Patrick F ShinnPresident and Partner, Heritage Asset Advisors LTD., LLP

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Katie’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.