Chief Compliance Office

0001559968-16-000014.txt : 20160420 0001559968-16-000014.hdr.sgml : 20160420 20160420133601 ACCESSION NUMBER: 0001559968-16-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160420 DATE AS OF CHANGE: 20160420 EFFECTIVENESS DATE: 20160420 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: 161580957 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 primary_doc.xml 13F-HR LIVE false false false 0001559968 XXXXXXXX 03-31-2016 03-31-2016 false Regent Investment Management LLC

4350 Brownsboro Road Suite 120 Louisville KY 40207

13F HOLDINGS REPORT 028-15055 N Steven T. Naiser Chief Compliance Office 502-719-1000 Steven T. Naiser Louisville KY 04-20-2016 0 220 179854 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1108 6648 SH SOLE 3843 0 2805 3M COMPANY COM 88579y101 30 181 SH OTR 0 0 181 A T & T INC COM 00206r102 1784 45547 SH SOLE 36184 0 9363 A T & T INC COM 00206r102 65 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 285 6804 SH SOLE 5104 0 1700 ABBOTT LABORATORIES COM 002824100 28 680 SH OTR 0 0 680 ABBVIE INC COM 00287y109 608 10649 SH SOLE 9949 0 700 ABBVIE INC COM 00287y109 73 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 207 6108 SH SOLE 0 0 6108 ADOBE SYSTEMS INC COM 00724f101 235 2500 SH SOLE 2500 0 0 ADVANCE AUTO PARTS COM 00751y106 243 1515 SH SOLE 1425 0 90 ALIBABA GROUP HLDG F ADR 1 ADR COM 01609w102 297 3760 SH SOLE 1760 0 2000 ALLERGAN PLC F COM g0177j108 1238 4619 SH SOLE 3474 0 1145 ALPHABET INC. CLASS A COM 02079k305 2887 3784 SH SOLE 2759 0 1025 ALPHABET INC. 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