Unclaimed Profile

Lawrence Randall Hartley

THOROUGHBRED FINANCIAL SERVICES, LLC·BRENTWOOD, Tennessee

SIE, Series 7, Series 6322 years registeredTHOROUGHBRED FINANCIAL SERVICES, LLC

5110 MARYLAND WAY, SUITE 300, BRENTWOOD, TN 37027-7508CRD# 1235172Firm CRD# 47893

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Lawrence Randall Hartley · BRENTWOOD, TN

Registration

CRD #1235172 · THOROUGHBRED FINANCIAL SERVICES, LLC · 22 years registered

Brand Profile

Not yet started

Career History

THOROUGHBRED FINANCIAL SERVICES, LLC

Jan 2004 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · January 5, 2004

Years registered · 22

Disclosure History

2018Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD 47893 · SEC 801-56741

AUM

$2.9B

Regulatory assets under management

Employees

6,330 client accounts

Services offered by THOROUGHBRED FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THOROUGHBRED FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Lawrence Randall Hartley offer?

Lawrence Randall Hartley specializes in Financial Planning, Investment Management. Contact their office in BRENTWOOD, Tennessee for a consultation.

What are Lawrence Randall Hartley's credentials?

Lawrence Randall Hartley is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lawrence Randall Hartley located?

Lawrence Randall Hartley is based in BRENTWOOD, Tennessee, working with THOROUGHBRED FINANCIAL SERVICES, LLC. Their office serves clients in the BRENTWOOD metropolitan area and surrounding communities.

How does Lawrence Randall Hartley charge for services?

Lawrence Randall Hartley's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THOROUGHBRED FINANCIAL SERVICES, LLC?

THOROUGHBRED FINANCIAL SERVICES, LLC has approximately 34 employees and manages $2.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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