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Current Employers
Thoroughbred Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-05-22
  • TN RA
    APPROVED
    Since 2024-05-22

Branch Locations

5110 Maryland Way Suite 300, Brentwood, TN 37027 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Florida Financial Advisors Dba Tristate Financial Advisors Nashville TN 08/2023 05/2024
University Of Alabama Tuscaloosa AL 08/2019 05/2023
Mountain Brook High School Birmingham AL 08/2016 05/2019
Trinity Wealth Securities, Llc Nashville TN 10/2023 05/2024
Thoroughbred Financial Services Brentwood TN 05/2024 Present
  • 08/2023 → 05/2024
    Florida Financial Advisors Dba Tristate Financial Advisors
    Nashville, TN
  • 08/2019 → 05/2023
    University Of Alabama
    Tuscaloosa, AL
  • 08/2016 → 05/2019
    Mountain Brook High School
    Birmingham, AL
  • 10/2023 → 05/2024
    Trinity Wealth Securities, Llc
    Nashville, TN
  • 05/2024 → Present
    Thoroughbred Financial Services
    Brentwood, TN
Previous Registrations
Other Businesses

THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 - INVESTMENT RELATED - INSURANCE AGENT - SINCE 2024- 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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-09-22
S65 Uniform Investment Adviser Law Examination 2023-08-04
  • S63 Uniform Securities Agent State Law Examination
    2023-09-22
  • S65 Uniform Investment Adviser Law Examination
    2023-08-04
Other Names
  • Lucy Walthall
  • Martha Lucille Walthall

View on SEC IAPD

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