THOROUGHBRED FINANCIAL SERVICES, LLC of BRENTWOOD, TN is an SEC-registered investment adviser (CRD 47893). Regulatory assets under management: $4.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Thomas Jenkins Parker | PRESIDENT, CEO | — |
| Jack Clark Jr Herndon | EXECUTIVE V.P. SECURITIES | — |
| Susan Sweeney Parker | TRUSTEE OF PARKER FAMILY TRUST | — |
| Lawrence Randall Hartley | MEMBER | — |
| John Sexton Atkins | MEMBER | — |
| William Allen Weddington | MEMBER | — |
| Barry Gene Steele | MEMBER | — |
| Patrick Gibbons Parker | MEMBER | — |
| Daniel James Kelly | V.P. OPERATIONS - CCO, CFO | — |
| HERNDON JACK CLARK JR | EXECUTIVE V.P. SECURITIES; V.P. SECURITIES DIV/MEMBER - CHIEF COMPLIANCE OFFICER | — |
| PARKER THOMAS JENKINS | PRESIDENT, CEO | — |
| PARKER SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | — |
| HARTLEY LAWRENCE RANDALL | MEMBER | — |
| ATKINS JOHN SEXTON | MEMBER | — |
| WEDDINGTON WILLIAM ALLEN | MEMBER | — |
| STEELE BARRY GENE | MEMBER | — |
| PARKER PATRICK GIBBONS | MEMBER | — |
| KELLY DANIEL JAMES | V.P. OPERATIONS; V.P. OPERATIONS - CCO; V.P. OPERATIONS - CCO, CFO (+2 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-21 | regulatory | SEC ADMIN RELEASE 34-84918: IA RELEASE 40-5090 / DECEMBER 21, 2018: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURI… | Final | $260K |
| City | State | Employees | Phone |
|---|---|---|---|
| JACKSON | TN | 5 | 731-668-8433 |
| JACKSON | TN | 5 | 731-668-8433 |
| KNOXVILLE | TN | 2 | 865-675-1884 |
| COLUMBIA | TN | 1 | 931-388-1258 |
| COLUMBIA | TN | 1 | 931-388-1258 |