Kristy L. Eaves

THOROUGHBRED FINANCIAL SERVICES

Brentwood, TN 37027-7508

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CRD#: 4310428

Professional summary

Kristy L Eaves, who also goes by Kristy L Allen, Kristy Lynn Allen, Kristy Lynn Cartwright, is a registered financial professional currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.

Kristy is registered as a RR (Registered Representative) and started their career in finance in 2015. Kristy has worked at 1 firm and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kristy L Allen | Kristy Lynn Allen | Kristy Lynn Cartwright

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 Kristy L Eaves'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

October 12, 2015 - 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

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2015

General Securities 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

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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Kristy L. Eaves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kristy L Eaves's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOROUGHBRED FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THOROUGHBRED FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2015

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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