Thoroughbred Financial Services and Affiliated Advisors Sanctioned with Cease-and-Desist Order involving Mutual Fund Share Class Selection Practices
March 26, 2025
- Categories:
- Thoroughbred Financial Services
Thoroughbred Financial Services, LLC (CRD#: 47893/SEC#: 801-56741, 8-51944) has been registered with the SEC and FINRA since 2000. Thomas Jenkins Parker (CRD#: 356789) has been a registered broker and investment advisor with Thoroughbred Financial Services, LLC since 2000. Lawrence Randall Hartley (CRD# 1235172) has been a registered broker and investment advisor with Thoroughbred Financial Services, […]