0001559968-18-000008.txt : 20181022 0001559968-18-000008.hdr.sgml : 20181022 20181022140130 ACCESSION NUMBER: 0001559968-18-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181022 DATE AS OF CHANGE: 20181022 EFFECTIVENESS DATE: 20181022 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: 181132118 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 09-30-2018 09-30-2018 false Regent Investment Management LLC

4350 Brownsboro Road Suite 120 Louisville KY 40207

13F HOLDINGS REPORT 028-15055 N STEVEN T. NAISER 502-719-1000 STEVEN T. NAISER LOUISVILLE KY 10-22-2018 0 234 319244 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579y101 1520 7213 SH SOLE 6963 0 250 3M CO COM 88579y101 38 181 SH OTR 0 0 181 A T & T INC COM 00206r102 3096 92193 SH SOLE 84676 0 7517 A T & T INC COM 00206r102 55 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 2145 29246 SH SOLE 27846 0 1400 ABBVIE INC COM 00287y109 1852 19586 SH SOLE 18951 0 635 ABBVIE INC COM 00287y109 121 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 508 6108 SH SOLE 3554 0 2554 ADIENT PLC F COM g0084w101 270 6880 SH SOLE 6380 0 500 ADOBE INC COM COM 00724f101 486 1800 SH SOLE 1800 0 0 AENA SME S.A. EUR10 ISIN#ES010 COM e526k0106 347 2000 SH SOLE 2000 0 0 ALBEMARLE CORP COM 012653101 2129 21335 SH SOLE 21335 0 0 ALIBABA GROUP HOLDING F SPONSO COM 01609w102 5142 31210 SH SOLE 30460 0 750 ALLERGAN PLC F COM g0177j108 388 2035 SH SOLE 1855 0 180 ALPHABET INC. 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