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ChFC
TP
ChFC

Thomas Parker

Thoroughbred Financial Services, LLC
52 Years of Experience
Brentwood, TN
6 DisclosuresBrokerSells Insurance
View SEC Summary
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Thomas Parker is a ChFC-designated registered investment advisor at Thoroughbred Financial Services, LLC, based in Brentwood, TN, with 52 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 3,567 clients with $4B in assets under management.

Thoroughbred Financial Services, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
34 advisors
Number of Clients
3,567 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$4.0B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.75%
$1M+1.25%

Fees are negotiable. Schedule reflects the primary Thoroughbred and Cambridge programs. Other programs have different fee structures, such as Bond-Timing (1.15% to 1.75%), Vanguard/Ascensus (1.00%), Identified Portfolios/Managers (up to 2.00%), and Envestnet (up to 2.50%, $100K minimum).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5110 Maryland Way, Suite 300, Brentwood, TN, 37027

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2018
Final
Regulatory
February 2000
Final
Customer Dispute
December 1996
Settled
Customer Dispute
November 1996
Settled
Customer Dispute
November 1996
Settled
Customer Dispute
November 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas is involved in several business activities, including retirement plan servicing, a limited partnership, assisted living facilities, real estate development, and various board member positions. He also works as an insurance agent selling life, disability, medical, and long-term care insurance, dedicating a few hours per week to this activity.

Employment History
Current Registrations
Thoroughbred Financial Services, LLC
January 2004 - Present · 22 yrs 9 mos
Thoroughbred Financial Services, LLCBroker
January 2000 - Present · 26 yrs 9 mos
Previous Registrations
Advanced Financial Planning Securities CorporationBroker
February 1986 - December 2000 · 14 yrs 10 mos
Capital Analysts, IncorporatedBroker
June 1974 - February 1986 · 11 yrs 8 mos
Advance Planning CorporationBroker
November 1973 - August 1974 · 9 mos
State Registrations29 states
ALAZCACODEFLGAILINKYLAMAMDMNMOMTNCNJNYOHOKORPASCTNTXUTWAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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