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5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-02-20 |
| TX | RA | APPROVED_RES | 2025-02-14 |
Branch Locations
5110 Maryland Way Suite 300, Brentwood, TN 37027 • UNITED STATES
5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Nashville | TN | 08/2000 | 01/2024 |
| Thoroughbred Financial Services, Llc | Brentwood | TN | 02/2025 | Present |
| Unemployed | Brentwood | TN | 01/2024 | 02/2025 |
1)ROCKETOWN / 601 4TH AVE. SOUTH NASHVILLE,TN 37210 / YOUTH OUTREACH FOR TEENS AT RISK / PROVIDING A PLACE FOR AT RISK TEENS TO "HANG OUT', RECEIVE COUNCILING, MENTORING, HELP WITH SCHOOL, GETTING A DEGREE, HELPING BUILD SELF ESTEEM, ETC. / MEMBER OF BOARD OF DIRECTORS / SERVE ON THE DEVELOPMENT COMMITTEE AND ACT AS A MENTOR FOR TEENS / START DATE 8/12/2013. THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 - INVESTMENT RELATED - INSURANCE AGENT - SINCE 2025- 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 | 1999-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1979-12-11 |
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