About Thoroughbred Financial
Thoroughbred financial is located in Lexington, Kentucky and has been serving our clients for over 40 years. We work with individuals and families to help achieve their financial goals through comprehensive financial planning, investment management, and insurance analysis. Contact us today to schedule your complementary consultation and begin your path to financial freedom!
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General Information
Firm Start Year
1980
No. of Employees
5-9
CRD#
7496182
Firm CRD#
3870
Insurance License#
20666036
Name of Broker/Dealer
Osaic FS
Years of Experience in Financial Services
37
Number of Years with Current Firm
26
Work with the following types of clients
Businesses, Individual Investors
Advisory Services Provided
Financial Planning for Businesses, Financial Planning for Individuals, Investment Advice & Management, Insurance Products & Annuities, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Health, Life, Variable Annuity, Annuity, Variable Life
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$10,000
Compensation Methods
Based on Assets, Flat Fee
Minimum Fee Charged for Managed Accounts
$100
Minimum Fee Charged for Hourly Planning Accounts
$100
Disclosures
Securities and investment advisory services offered through Osaic FS, Inc., member FINRA/SIPC. Osaic FS is separately owned and other entities and/or marketing names, products or services referenced here are independent of Osaic FS.
For more information regarding Osaic FS's Form CRS and Forms ADV Part 2A, which are available at:https://osaic.com/fs/accounts/disclosures
LFS-6876507-080824
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1892374/financialplanners-Thoroughbred-Financial-detailed-disclosure.html