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#
1577505
Firm CRD#
23131
Insurance License#
319796
Name of Broker/Dealer
Osaic Wealth
Years of Experience in Financial Services
40
Number of Years with Current Firm
40
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Financial Planning for Individuals, Financial Planning for Businesses, Money Management
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
Certifications, Accreditations & Designations
CLU®, ChFC®
Securities Licenses
Series 24, Series 63, Series 6, Series 7
Insurance and Annuity Licenses
Health, Life, Variable Annuity, Long Term Care, Annuity, Variable Life
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$100000
Compensation Methods
Commissions, 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 Wealth, Inc., member FINRA/SIPC. Osaic Wealth is separately owned and other entities and/or marketing names, products or services referenced here are independent of Osaic Wealth.
For more information regarding Osaic Wealth's Form CRS and Forms ADV Part 2A, which are available at:LFS-6876507-080824
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1892374/financialplanners-Thoroughbred-Financial-detailed-disclosure.html