Regent Investment Management LLC

Regent Investment Management LLC (CRD# 164372) is a financial advisory firm headquartered in Louisville, KY. They manage $285,398,846 in 303 accounts and serve the financial needs of clients across 3 states (or territories).

Current Firm Details
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
http://www.regentinvest.com
By the Numbers
  • Total Assets Under Management
    285
    MILLION
  • Total Number of Accounts
    303
    ACCOUNTS
  • Average Account Value
    $941,910
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

FL, KY, TX

Financial Advisors at Regent Investment Management LLC
Showing 1 - 3 of 3 top financial advisors.
1
Mary Jones, financial advisor Louisville KY
Mary D. Jones
CRD#: 3235471
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
96
Wealthminder
score

Mary Jones (CRD# 3235471) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 17 years of experience in the finance industry.

2
Steven Naiser, financial advisor Louisville KY
Steven T. Naiser
CRD#: 4332041
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
96
Wealthminder
score

Steven Naiser (CRD# 4332041) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 16 years of experience in the finance industry.

3
Martin McClelland, financial advisor Louisville KY
Martin N. McClelland
CRD#: 2599603
4350 Brownsboro Rd, Suite 120, Louisville, KY 40207
93
Wealthminder
score

Martin McClelland (CRD# 2599603) is an Investment Advisor Representative working at Regent Investment Management LLC in Louisville, KY and has over 22 years of experience in the finance industry.

Our primary data source is public filings of Form ADV as published by the Securities and Exchange Commission (SEC) and made available in accordance with the Freedom of Information Act (FOIA). Supplementary information may be provided by listed advisors or their representatives.

Because many firms provide a variety of products or services, an individual may or may not be registered to operate under all services provided by the firm.

Do not rely solely on the information on this page. The information may be inaccurate, incomplete or outdated. For the most accurate and up-to-date information, please search for the firm or individual on the SEC site at http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_Search.aspx

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