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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-24 |
| TX | RA | APPROVED_RES | 2025-01-24 |
Branch Locations
10629 Henning Way Suite 1, Louisville, KY 40241 • United States
3217 Summit Square Place Suite 200, Lexington, KY 40509 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thoroughbred Financial Agency | Lexington | KY | 08/2014 | Present |
| Lincoln Financial Securities Corporation | Lexington | KY | 07/2016 | 01/2025 |
| Osaic Wealth, Inc. | Louisville | KY | 01/2025 | Present |
1) THOROUGHBRED FINANCIAL AGENCY 3217 SUMMIT SQUARE PLACE, STE 200 LEXINGTON, KY 40509 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFERS DISABILITY INSURANCE, INDEXED ANNUITIES, FIXED ANNUITIES, LONG-TERM CARE INSURANCE, TRADITIONAL LIFE INSURANCE START DATE: 07/2016 HOURS PER MONTH: 120 HOURS PER MONTH DURING TRADING HOURS: 120 2)RUBY FINANCIAL PLANNING, 10629 HENNING WAY, STE 1, LOUISVILLE KY CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: SALE AND SERVICE OF FIXED ANNUITIES, INDEXED ANNUITIES, LONG-TERM CARE INSURANCE, TRADITIONAL LIFE INSURANCE START DATE: 01/2024 HOURS PER MONTH: 10 HOURS PER MONTH 3) JONSTEN ENTERPRISES, LLC, 3217 SUMMIT SQUARE PLACE, STE 200, LEXINGTON KY CATEGORY: LEGAL ENTITY/LLC INVESTMENT RELATED: YES TITLE: OWNER DUTIES: ENTITY CREATED TO PAY BUSINESS EXPENSES START DATE: 08/2024 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 0 4) RUBY FINANCIAL PLANNING POSITION: Agent,Other NATURE: Insurance and securities business with clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2024 ADDRESS: 10629 Henning Way, Suite 1, Louisville KY 40241, United States DESCRIPTION: Meet with clients concerning their financial plan and investments. 5. THOROUGHBRED FINANCIAL AGENCY - INSURANCE OBA POSITION: Agent NATURE: help clients with fixed life insurance, fixed and indexed annuities, disability insurance, and long-term care insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2016 ADDRESS: 3217 Summit Square Place, STE 200, Lexington KY 40509, United States DESCRIPTION: insurance sales
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-01 |
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