John C. Hause

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CRD#: 2132799

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Charles Hause was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1991. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 11, 2007 - September 25, 2018

THOROUGHBRED FINANCIAL SERVICES, LLC

RIA

CRD#: 47893

BRENTWOOD, TN

Past

July 11, 2007 - September 25, 2018

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893

BRENTWOOD, TN

Past

May 22, 2007 - June 19, 2007

PFIC ADVISORS, INC.

RIA

CRD#: 138007

FRANKLIN, TN

Past

May 13, 1998 - June 19, 2007

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

October 25, 1994 - May 18, 1998

TRANS FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 36539

NASHVILLE, TN

Past

June 7, 1993 - July 25, 1994

NATIONSSECURITIES

CRD#: 32542

Past

May 28, 1993 - June 7, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

March 19, 1991 - May 27, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 19, 1991 - May 27, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA

Registered Investment Advisory firm - SEC (8/13/1999 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/6/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/18/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/1996

General Securities Principal Examination

Current Firm

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893 / SEC#: 801-56741, 8-51944

RIA

Registered Investment Advisory firm - SEC (8/13/1999 Approved)

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

SEC notice filing (22 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

APPENDIX I THOROUGHBRED FINANCIAL SERVICES, LLC, WRAP FEE PROGRAM (3/31/2025)

THOROUGHBRED FINANCIAL SERVICES, LLC (3/31/2025)

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

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.

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Firm Stability Insights

John C. Hause

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THOROUGHBRED FINANCIAL SERVICES, LLC

PFIC ADVISORS, INC.

PFIC SECURITIES CORPORATION

TRANS FINANCIAL INVESTMENT SERVICES, INC.

NATIONSSECURITIES

BANC OF AMERICA INVESTMENT SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THOROUGHBRED FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2007

Series 63

Date: 4/8/1991

SIE

Date: 9/25/2018

Series 7

Date: 3/18/1991

Series 53

Date: 12/6/1996

Series 4

Date: 4/18/1996

Series 24

Date: 2/13/1996

Current Firm

THOROUGHBRED FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (22 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THOROUGHBRED FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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