THOROUGHBRED FINANCIAL SERVICES, LLC
Firm details
- Headquarters
- BRENTWOOD, Tennessee
- CRD number
- 47893
- Registered since
- August 13, 1999
- Custodians
- NATIONAL FINANCIAL SERVICES LLC
- Fee structure
- Percentage of AUM, Fixed Fees, Commissions
- Client types
- HNWI45.98%
- Corporations / Businesses28.5%
- Individuals22.09%
- Pension & Profit Sharing Plans3.43%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Thoroughbred Financial Services, LLC is an independent broker-dealer and insurance broker that has been SEC-registered since 1999. The firm functions as a capital allocator and serves a mixed client base of individuals, families and institutional accounts. Its revenue model includes percentage-of-AUM fees, fixed fees and commissions. Advisory capabilities listed include financial planning, portfolio management for individuals and small businesses, and the selection of third‑party advisers. Thoroughbred is not identified as an active ESG investor and is not registered as a multi‑state adviser. The firm also has roles as a sponsor, general partner or managing member of pooled investment vehicles.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds39%
- Non-Exchange Traded Equities29%
- Exchange Traded Equities22%
- Cash & Cash Equivalents7%
- US Government Bonds1%
Owners & executives
1 of 1HEATHER HALE
Chief Compliance OfficerCRD 4470449
Contacts
3 of 44JAMES REYNOLDS
Financial PlannerCRD 5791473
DANIEL CARNINE
Financial RepresentativeCRD 5938067
DANIEL PARKER
Registered RepresentativeCRD 6160035
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 342Active vs passive
$899M in ETFs
74%
$661M
22%
$238M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO NASDAQ 100 ETF (QQQM) | Invesco | Passive | Large Growth | $30.2M | 127,215 | 3.36% |
Location
BRENTWOOD, TN
WILLIAMSON
Location
BRENTWOOD, TN
Headquartered in BRENTWOOD, TN, anchoring the Nashville-Davidson--Murfreesboro, TN metro in the South.
- Metro area
- Nashville-Davidson--Murfreesboro, TN
- Region
- South
- County
- WILLIAMSON
- Address
- 5110 Maryland Way
- Time zone
- CT (UTC-6)
- Office locations
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