LH
Lawrence R. Hartley
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027
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CRD#: 1235172
LH
Professional summary
Lawrence Randall Hartley is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Lawrence has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Mojave Entertianment, LLC, not investment related, 6327 Johnson Chapel Rd, Brentwood, TN 37027, movie/ story rights, managing member, 8/2021 to present, 0 hrs during trading hours, supervisory. 2. Beautifuly Broken, LLC, not investment related, 6327 Johnson Chapel Rd, Brentwood, TN 37027, movie/story rights, managing member, 3/2015 to present, 0 hrs during trading hours, supervisory. 3.Graymont, LLC: not investment related, 6327 Johnson Chapel Rd, Brentwood TN 37027, Real Estate Dev, Partner 2014 to Present 0 hrs/month, investory only. 4. Jacob's Village; not investment related, 7400 Vienna Rd, Evansville IN 47720, 501(3)c Adults w/Disabilities, Treasurer, 2014 to Present, 5 hrs/months, 0 hrs/during trading, Officer. 5. Legacy Mission Village; not investment related, 5123 Nolensville Rd, Nashville, TN 37211, 501(3)c Refuge Ministry, Chairman, 2012 to Present, 5 hrs/month, 0 hrs during trading. 6. THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 -INVESTMENT RELATED - INSURANCE AGENT - SINCE 2006- 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.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Randall Hartley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Randall Hartley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 5, 2004 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Current
April 1, 2000 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Past
May 16, 2000 - December 19, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Past
March 5, 1986 - April 1, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Past
February 24, 1984 - February 8, 1986
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/8/2007)
RR
Arizona(6/8/2009)
RR
California(6/26/2008)
RR
Colorado(1/7/2005)
RR
Florida(11/7/2000)
RR
Georgia(2/17/2005)
RR
Illinois(4/30/2010)
RR
Indiana(4/1/2000)
RR
Kentucky(4/1/2000)
RR
Louisiana(8/10/2022)
RR
Maryland(9/9/2013)
RR
Massachusetts(10/8/2015)
RR
Minnesota(6/3/2016)
RR
Missouri(9/29/2014)
RR
New Jersey(6/24/2013)
RR
North Carolina(2/25/2010)
RR
Ohio(3/29/2011)
RR
Oklahoma(9/16/2009)
RR
Oregon(1/26/2006)
RR
South Carolina(7/26/2013)
RR
Tennessee(4/1/2000)
IAR
Tennessee(1/5/2004)
RR
Texas(8/18/2008)
IAR
Texas(8/18/2008)
RR
Utah(4/9/2013)
RR
Washington(11/19/2014)
RR
Wyoming(9/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (22 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARKER FAMILY TRUST | MEMBER | |
| ATKINS, JOHN SEXTON | MEMBER | 709695 |
| HARTLEY, LAWRENCE RANDALL | MEMBER | 1235172 |
| PARKER, PATRICK GIBBONS | MEMBER | 709713 |
| STEELE, BARRY GENE | MEMBER | 1000525 |
| WEDDINGTON, WILLIAM ALLEN | MEMBER | 709720 |
| HERNDON, JACK CLARK JR | EXECUTIVE V.P. SECURITIES | 1286530 |
| KELLY, DANIEL JAMES | V.P. OPERATIONS - CCO, CFO | 2378762 |
| PARKER, SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | 3265529 |
| PARKER, THOMAS JENKINS | PRESIDENT, CEO | 356789 |
Regulatory assets under management
| Total Number of Accounts | 6,789 |
| AUM (Assets Under Management) | $ 3,409,535,678 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
