0001559968-14-000006.txt : 20140723
0001559968-14-000006.hdr.sgml : 20140723
20140723144043
ACCESSION NUMBER: 0001559968-14-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140723
DATE AS OF CHANGE: 20140723
EFFECTIVENESS DATE: 20140723
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: 14988632
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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XXXXXXXX
06-30-2014
06-30-2014
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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
Louisville
KY
07-23-2014
0
198
202878
INFORMATION TABLE
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18920
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
14000
SH
SOLE
11000
0
3000
XCELMOBILITY INC
COM
98400l103
1
10500
SH
SOLE
10500
0
0
YONGYE INTERNATIONAL INC
COM
98607b106
219
31175
SH
SOLE
23475
0
7700
YUHE INTL INC
COM
988432100
0
13000
SH
SOLE
9000
0
4000
YUM BRANDS INC
COM
988498101
1304
16061
SH
SOLE
8370
0
7691
ISHARES MSCI BRAZIL ETF BRAZIL
ETF
464286400
1409
29495
SH
SOLE
29370
0
125
ISHARES MSCI EMRG MKT FD EMERG
ETF
464287234
335
7744
SH
SOLE
5744
0
2000
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
332
3711
SH
SOLE
3711
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
1757
24202
SH
SOLE
24202
0
0
ISHARES TR MSCI EAFE ETF
ETF
464287465
556
8130
SH
SOLE
8130
0
0
ISHARES TR RUSSELL 2000 GROWTH
ETF
464287648
253
1825
SH
SOLE
1825
0
0
ISHARES TR RUSSELL 2000 RUSSEL
ETF
464287630
259
2505
SH
SOLE
2505
0
0
ISHARES U S PFD ETF U S PFD ST
ETF
464288687
399
9992
SH
SOLE
7392
0
2600
POWERSHARES EXCH TRADEDFD TR I
ETF
73936t565
323
22100
SH
SOLE
22100
0
0
POWERSHS EXCH TRAD FD TR POWER
ETF
73935x229
217
11950
SH
SOLE
4450
0
7500
SCHW EMG MKT EQ ETF
ETF
808524706
447
17188
SH
SOLE
12688
0
4500
SCHW US BRD MKT ETF
ETF
808524102
345
7238
SH
SOLE
7238
0
0
SECTOR SPDR ENGY SELECT SHARES
ETF
81369y506
526
5250
SH
SOLE
5250
0
0
SPDR S&P OIL & GAS EXPL PRODUC
ETF
78464a730
531
6450
SH
SOLE
6450
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
2233
51782
SH
SOLE
42407
0
9375
VANGUARD REIT
ETF
922908553
397
5300
SH
SOLE
5300
0
0
CRESUD SACIF YA 15 WTS F WARRA
WT
p3311r192
4
100950
SH
SOLE
50760
0
50190