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5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-11-06 |
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 |
|---|---|---|---|---|
| Rental Property | Indianapolis | IN | 01/2009 | Present |
| Zeal Financial Services | Brentwood | TN | 03/2016 | 08/2017 |
| Principal Life Insurance Company | Nashville | TN | 08/2017 | 10/2021 |
| Principal Securities Inc | Nashville | TN | 08/2017 | 10/2021 |
| Thoroughbred Financial Services, Llc | Brentwood | TN | 11/2023 | Present |
***Rental Properties, Owner, 01/2009. *** Bookkeeping Services, self-employed, 205 Glenstone Circle, Brentwood, TN 37027, 2024- present, not investment related, 5 hours per month, none during trading hours. ***THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 - INVESTMENT RELATED - INSURANCE AGENT - SINCE 2000- 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 | 2020-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-20 |
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