MG
Michael E. Goldston
THOROUGHBRED FINANCIAL SERVICES
Brentwood, TN 37027-7508
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CRD#: 867394
MG
Professional summary
Michael Eugene Goldston is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 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.
Closed business: CO-OWNER OF HIGH MEADOW ALPACAS ("HMA")AN ALPACA FARM LOCATED IN LEIPERS FORK, TN. LOCATED AT HOME ADDRESS OF 3400 FLOYD ROAD. A FARM WHICH BREEDS, RAISES AND SELLS ALPACAS. THE BUSINESS IS NOT INVESTMENT RELATED. THE BUSINESS WAS STARTED IN 1/03 and closed 9/17. GOLDSTON DEVOTES APPROXIMATELY 10 MINUTES A DAY DURING TRADING HOURS, ANSWERING EMAILS, COMMUNICATING WITH FARM STAFF OF 7 EMPLOYEES AND MANAGER. AS CO-OWNER OF HMA, HIS DUTIES RUN THE GAMUT FROM ADMINISTRATIVE TO MANAGERIAL DUTIES.
Highlands of Leipers Fork; non investment related, 3400 Floyd Rd, Franklin TN 37064, business type: real estate, position: co-owner, 2017 to present, 12-16 hrs/month, 0 hrs. during trading, duties: developer.
THOROUGHBRED FINANCIAL SERVICES (INDEPENDENT INSURANCE AGENCY) 5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027 - INVESTMENT RELATED - INSURANCE AGENT - SINCE 2009- ESTIMATED 5% OF TIME (8 HRS A MONTH) DEVOTED TO THIS AREA WHICH OCCURS DURING SECURITIES TRADING HOURS. ENGAGED IN SELLING LIFE, DISABILITY, MEDICAL AND LONG TERM CARE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Eugene Goldston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Eugene Goldston'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
June 12, 2009 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508Office #2: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508RIA
BD
CRD#: 47893
Brentwood, TN
Current
June 12, 2009 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 5110 Maryland Way, Suite 300, Brentwood, TN 37027-7508Office #2: 5110 Maryland Way Suite 300, Brentwood, TN 37027RIA
BD
CRD#: 47893
Brentwood, TN
Past
May 30, 1996 - June 8, 2009
CAMBRIDGE EQUITY ADVISORS INC
RIA
CRD#: 105368
BRENTWOOD , TN
Past
September 24, 1987 - August 7, 2009
CAMBRIDGE WAY, INC.
BD
CRD#: 16328
BRENTWOOD, TN
Past
April 23, 1982 - September 23, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
July 15, 1980 - May 14, 1982
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
June 21, 1979 - July 27, 1980
J.C. BRADFORD & CO.
BD
CRD#: 1287
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
Alabama(6/26/2009)
RR
Arizona(6/26/2009)
RR
California(6/15/2009)
RR
Colorado(7/6/2009)
RR
Florida(8/17/2021)
RR
Indiana(4/29/2015)
RR
Kentucky(6/26/2009)
RR
Maryland(11/13/2023)
RR
Massachusetts(10/15/2015)
RR
Mississippi(1/10/2024)
RR
Montana(5/23/2023)
RR
New York(6/26/2009)
RR
North Carolina(6/24/2009)
RR
South Carolina(8/5/2013)
RR
Tennessee(6/26/2009)
IAR
Tennessee(6/26/2009)
RR
Texas(11/9/2023)
IAR
Texas(11/9/2023)
RR
Washington(1/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
