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Louisville, KY • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-03-26 |
| KY | RA | APPROVED | 2021-10-28 |
| OH | RA | APPROVED | 2021-07-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sapphire Fiduciary Advisors, Llc | Louisville | KY | 07/2021 | Present |
| Citizens Bank | Mount Vernon | KY | 11/2006 | Present |
| Bellarmine University Rubel School Of Business | Louisville | KY | 01/2021 | 04/2021 |
| Cook Street Consulting, Inc. | Denver | CO | 01/2020 | 09/2020 |
| Stock Yards Bank & Trust | Louisville | KY | 05/2016 | 08/2018 |
| Rockcastle Bancorp | Mount Vernon | KY | 03/2020 | Present |
Name: Rockcastle Bancorp, Inc. Investment related: No Address: Mount Vernon, KY, United States Nature of Business: Bank holding company Position: Director Title: Director Start: 03/2020 Hours/month: 1 Hours/month during trading hours: 1 Duties: - Monitor and advise on bank policy to protect shareholders' interests - Collaborate on decisions concerning strategy and capital allocation Name: Citizens Bank (Brodhead, KY) Investment related: No Address: Mount Vernon, KY, United States Nature of Business: Community bank Position: Director Title: Director Start: 11/2006 Hours/month: 4 Hours/month during trading hours: 4 Duties: - Monitor and advise on bank operations and loan portfolio - Analyze operating and financial results - Evaluate credit requests as a member of the Executive Loan Committee Name: PHS Residential, LLC Investment related: Yes Address: Louisville, KY, United States Nature of Business: Multi-family real estate Position: Member Title: General Partner of Plowshares Capital, LLC Title: Member of Floranna Park, LLC Start: 11/2024 Hours/month: 3 Hours/month during trading hours: 3 Duties: - Financial analysis Name: PHS Industrial, LLC Investment related: No Address: Louisville, KY, United States Nature of Business: Manufacturing Position: Member Title: Member of Tri-State Cold-Formed Steel Holdings, LLC Title: Member of Tri-State Cold-Formed Steel Real Estate, LLC Start: 05/2026 Hours/month: 8 Hours/month during trading hours: 4 Duties: - Financial analysis Name: Ketti Frith, LLC Investment related: No Address: Louisville, KY, United States Nature of Business: Design services Position: Registered Agent Title: Bookkeeper Start: 0/2013 Hours/month: 4 Hours/month during trading hours: 0 Duties: - QuickBooks
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-06-24 |
| S66 | Uniform Combined State Law Examination | 2002-02-04 |
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