0001559968-14-000002.txt : 20140122
0001559968-14-000002.hdr.sgml : 20140122
20140122084602
ACCESSION NUMBER: 0001559968-14-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140122
DATE AS OF CHANGE: 20140122
EFFECTIVENESS DATE: 20140122
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Regent Investment Management LLC
CENTRAL INDEX KEY: 0001559968
IRS NUMBER: 454951312
STATE OF INCORPORATION: KY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15055
FILM NUMBER: 14539189
BUSINESS ADDRESS:
STREET 1: 4350 BROWNSBORO ROAD
STREET 2: SUITE 120
CITY: LOUISVILLE
STATE: KY
ZIP: 40207
BUSINESS PHONE: 502-719-1000
MAIL ADDRESS:
STREET 1: 4350 BROWNSBORO ROAD
STREET 2: SUITE 120
CITY: LOUISVILLE
STATE: KY
ZIP: 40207
13F-HR
1
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12-31-2013
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Regent Investment Management LLC
4350 Brownsboro Road
Suite 120
Louisville
KY
40207
13F HOLDINGS REPORT
028-15055
N
Steven T. Naiser
Vice President
502-719-1000
Steven T. Naiser
Louisvillve
KY
01-22-2014
0
185
178253
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464288687
386
10492
SH
SOLE
7892
0
2600
ISHARES US TRANSN AVG TRANSPOR
ETF
464287192
528
4000
SH
SOLE
4000
0
0
POWERSHARES EXCH TRADEDFD TR I
ETF
73936t565
207
15400
SH
SOLE
15400
0
0
POWERSHS EXCH TRAD FD TR POWER
ETF
73935x229
202
11950
SH
SOLE
4450
0
7500
SCHW EMG MKT EQ ETF
ETF
808524706
418
16988
SH
SOLE
12488
0
4500
SCHW US BRD MKT ETF
ETF
808524102
731
16250
SH
SOLE
16250
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
530
10150
SH
SOLE
10150
0
0
SPDR S&P REGIONAL BKING
ETF
78464a698
508
12500
SH
SOLE
12500
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1188
28867
SH
SOLE
19492
0
9375
CRESUD SACIF YA 15 WTS F WARRA
WT
p3311r192
8
100950
SH
SOLE
50760
0
50190