DC
Daniel S. Carnine
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027-7508
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CRD#: 5938067
DC
Professional summary
Daniel Shane Carnine is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, 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.
***Rental Properties, Owner, 01/2009. ***Fixed Insurance; Investment Related; Brentwood, TN; Broker; Life, Annuities, DI ; Start Date: 11/2023 ; 5 hrs per month; 5 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Shane Carnine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Shane Carnine'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
November 6, 2023 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508RIA
BD
CRD#: 47893
Brentwood, TN
Current
November 6, 2023 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Past
December 3, 2020 - November 8, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NASHVILLE, TN
Past
August 16, 2017 - November 8, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NASHVILLE, TN
Past
January 1, 2016 - June 7, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BRENTWOOD, TN
Past
August 30, 2013 - May 13, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NASHVILLE, TN
Past
June 14, 2012 - August 15, 2012
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
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
Indiana(11/28/2023)
IAR
Tennessee(11/6/2023)
RR
Tennessee(11/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/16/2022
General Securities Representative ExaminationGeneral 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.
