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5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2022-04-06 |
Branch Locations
5110 Maryland Way Suite 300, Brentwood, TN 37027 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Investments | Chicago | IL | 06/2016 | Present |
| Thoroughbred Financial Services, Llc | Brentwood | TN | 04/2022 | Present |
THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 - INVESTMENT RELATED - INSURANCE AGENT - SINCE 2022- ESTIMATED 5% OF TIME (8 HRS A MONTH) DEVOTED TO THIS AREA WHICH OCCURS DURING SECURITIES TRADING HOURS. ENGAGED IN SELLING LIFE, DISABILITY, MEDICAL AND LONG TERM CARE INSURANCE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-30 |
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