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Investment Adviser Firm Summary

THOROUGHBRED FINANCIAL SERVICES, LLC (CRD# 47893 / SEC# 8-51944, 801-56741)
Alternate Names: THOROUGHBRED FINANCIAL SERVICES, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/13/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/15/2000
California 03/02/2011
Colorado 03/29/2018
Florida 11/06/2000
Georgia 03/13/2000
Illinois 04/01/2010
Indiana 03/21/2000
Kentucky 03/26/2004
Louisiana 01/05/2009
Maryland 03/27/2015
Mississippi 03/23/2005
Missouri 03/29/2018
North Carolina 01/05/2009
Ohio 03/05/2010
South Carolina 03/27/2015
Tennessee 02/15/2000
Texas 05/24/2000
Virginia 01/05/2009

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser