MW
Martha L. Walthall
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027-7508
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CRD#: 7795501
MW
Professional summary
Martha Lucille Walthall, who also goes by Lucy Walthall, Martha Lucille Walthall, is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Martha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Martha has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucy Walthall | Martha Lucille Walthall
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.
oFlorida Financial Advisors (DBA Tristate Financial Advisors). Investment Related. Nashville, TN. Nature of Business: RIA. Position: Financial Consultant. Start Date: 08/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities. oFlorida Financial Insurance (DBA Tristate Financial Advisors). Not Investment Related. Nashville, TN.. Nature of Business: Fixed Insurance Sales. 08/2023. Hours per Month: 10 hours during trading. Duties: fixed insurance sales oTrinity Wealth Securities, LLC. Investment Related. Nashville, TN. Nature of Business: Securities Sales. Position: Registered Representative. Start Date: 10/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities.
CRS (Client Relationship Summary) - RIA
Click below to view Martha Lucille Walthall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martha Lucille Walthall'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
May 22, 2024 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508RIA
BD
CRD#: 47893
Brentwood, TN
Current
May 21, 2024 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Past
October 9, 2023 - May 12, 2024
TRINITY WEALTH SECURITIES, L.L.C.
BD
CRD#: 104348
Nashville, TN
Past
August 11, 2023 - May 12, 2024
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
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".
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
Tennessee(5/21/2024)
IAR
Tennessee(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/9/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
