Carl Vernon Lee
Professional Summary
Carl Vernon Lee is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Jackson, Tennessee. Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Carl has worked at 3 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 62 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
THOROUGHBRED FINANCIAL SERVICES, LLC
Contact Information
Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027Phone Number
(615) 371-0001Established
Tennessee since 06/24/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
31SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
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 |
| 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
7,236AUM (Assets Under Management)
$4,039,118,832Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
THOROUGHBRED FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(1/31/2012)
(6/9/2015)
(6/28/2005)
(11/16/2022)
(4/1/2000)
(1/7/2004)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jul 1989Series 1 — Registered Representative Examination
Passed May 1980SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Carl Vernon Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Vernon Lee's CRS (Customer Relationship Summary).
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