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Current Employers
Thoroughbred Financial Services, Llc

5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-01-11
TN RA APPROVED 2004-01-06
  • TX RA
    APPROVED_RES
    Since 2008-01-11
  • TN RA
    APPROVED
    Since 2004-01-06

Branch Locations

5110 Maryland Way Suite 300, Brentwood, TN 37027 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Thoroughbred Financial Services, Llc Brentwood TN 06/1999 Present
Other Businesses

1) EMPLOYEE BENEFIT SERVICES; 5110 MARYLAND WAY #300, BRENTWOOD 37027, NOT INVESTMENT RELATED, FIRM PROVIDES RETIREMENT PLAN SERVICING; OWNER; 1985-PRESENT; ONLY GENERAL OVERSITE OF BUSINESS IS DONE APPROX 8 HRS/MO.; 2/HRS/MON DURING TRADING; MANAGEMENT/SALES. 2) DIVERSIFIED PARTNERS INC; 5110 MARYLAND WAY, #300, BRENTWOOD TN 37027, INVESTMENT RELATED, LIMITED PARTNERSHIP, PRESIDENT & SHAREHOLDER, MANAGEMENT; 1985 TO PRESENT; 8/HRS MON; 2/HRS MON. DURING TRADING HRS; MANAGE, COORDINATE PRTNRSHIP ACTIVITIES 3) GRAYMONT, LLC NON INVESTMENT RELATED; 4205 HILLSBORO PK #300, NASHVILLE TN 37215; REAL ESTATE DEV.; POSITION: LLC Partner; 2011-PRESENT; 1.5 HRS/MON.; 0/HRS. DURING TRADING; INVESTOR. 4) Jacob's Village 501(3)(c); non-investment related; Greater Evansville Area, IN; Position: Board Member; Purpose: Development of Disabled; 2013-Present; 1/hr/mon; 1/hr during trading. 5) OLD TIMERS BASEBALL ASSOC 501(3)(c); NON INVESTMENT RELATED; MIDDLE TN; PROMOTE BASEBALL; BOARD MEMBER; 2006-PRESENT; 6/HRS/MON. 0/HRS DURING TRADING; IDEAS, FUND RAISING AND PROMOTION. 6)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. 7)DEBRA SEYMOR B.J. RANCH, NOT INVESTMENT RELATED, SANTA CRUZ BOLIVIA, ZERO HOURS DEVOTED, INVESTOR IN CATTLE FARM.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-03-22
  • S63 Uniform Securities Agent State Law Examination
    1982-03-22
Designations

View on SEC IAPD

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