Edward H. Kriel

THOROUGHBRED FINANCIAL SERVICES

Brentwood, TN 37027-7508

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CRD#: 2437412

Professional summary

Edward Henry Kriel JR, who also goes by Edward H Kriel Jr, Mike Kriel, is a registered financial professional currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1995. Edward has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Edward H Kriel Jr | Mike Kriel

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) - BD

Click below to view Edward Henry Kriel JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 3, 2010 - Present

THOROUGHBRED FINANCIAL SERVICES, LLC

Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508Office #2: 5110 Maryland Way Suite 300, Brentwood, TN 37027

RIA

CRD#: 47893

Brentwood, TN

Past

January 6, 2006 - September 3, 2009

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893

BRENTWOOD, TN

Past

May 13, 2004 - December 16, 2005

TAYLOR SECURITIES, INC.

CRD#: 17575

BRENTWOOD, TN

Past

April 23, 1997 - January 8, 2001

MELLON HR SECURITIES, INC.

CRD#: 36991

FORT LEE, NJ

Past

January 1, 1995 - November 30, 1996

CBL EQUITIES, INC.

CRD#: 13999

NASHVILLE, TN

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.

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

Tennessee
(2/3/2010)

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

Series 63

Date: 6/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/12/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

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Edward H. Kriel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edward Henry Kriel JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOROUGHBRED FINANCIAL SERVICES, LLC

TAYLOR SECURITIES, INC.

MELLON HR SECURITIES, INC.

CBL EQUITIES, INC.

Primary Firm SEC Registration

THOROUGHBRED FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2004

SIE

Date: 10/1/2018

Series 6

Date: 5/12/2004

FINRA

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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