CHIEF COMPLIANCE OFFICER

0001559968-18-000004.txt : 20180424 0001559968-18-000004.hdr.sgml : 20180424 20180424093935 ACCESSION NUMBER: 0001559968-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180424 DATE AS OF CHANGE: 20180424 EFFECTIVENESS DATE: 20180424 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: 18770358 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 03-31-2018 03-31-2018 false Regent Investment Management LLC

4350 Brownsboro Road Suite 120 Louisville KY 40207

13F HOLDINGS REPORT 028-15055 N STEVEN T. NAISER CHIEF COMPLIANCE OFFICER 502-719-1000 STEVEN T. NAISER LOUISVILLE KY 04-24-2018 0 238 295657 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1664 7579 SH SOLE 7079 0 500 3M COMPANY COM 88579y101 40 181 SH OTR 0 0 181 A T & T INC COM 00206r102 1319 36989 SH SOLE 32639 0 4350 A T & T INC COM 00206r102 59 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 1931 32230 SH SOLE 30830 0 1400 ABBVIE INC COM 00287y109 1132 11965 SH SOLE 11330 0 635 ABBVIE INC COM 00287y109 121 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 412 6108 SH SOLE 3554 0 2554 ADIENT PLC F COM g0084w101 411 6880 SH SOLE 6380 0 500 ADOBE SYSTEMS INC COM 00724f101 411 1900 SH SOLE 1900 0 0 AENA SME S.A. 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