CHIEF COMPLIANCE OFFICER

0001559968-17-000006.txt : 20170717 0001559968-17-000006.hdr.sgml : 20170717 20170717144547 ACCESSION NUMBER: 0001559968-17-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170717 DATE AS OF CHANGE: 20170717 EFFECTIVENESS DATE: 20170717 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: 17967413 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 06-30-2017 06-30-2017 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 07-17-2017 0 246 284177 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1584 7606 SH SOLE 7106 0 500 3M COMPANY COM 88579y101 38 181 SH OTR 0 0 181 A T & T INC COM 00206r102 1722 45646 SH SOLE 39796 0 5850 A T & T INC COM 00206r102 62 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 1611 33143 SH SOLE 31743 0 1400 ABBVIE INC COM 00287y109 876 12078 SH SOLE 11443 0 635 ABBVIE INC COM 00287y109 93 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 352 6108 SH SOLE 3554 0 2554 ADIENT PLC F COM g0084w101 443 6780 SH SOLE 6280 0 500 ADOBE SYSTEMS INC COM 00724f101 537 3800 SH SOLE 3800 0 0 AENA SA EUR10 ISIN#ES010504600 COM e526k0106 599 3075 SH SOLE 3075 0 0 AIRBUS SE EUR1 ISIN#NL00002351 COM n0280g100 606 7378 SH SOLE 7378 0 0 ALIBABA GROUP HLDG F SPONSORED COM 01609w102 1060 7525 SH SOLE 7525 0 0 ALLERGAN PLC F COM g0177j108 1840 7569 SH SOLE 6629 0 940 ALPHABET INC. CLASS A COM 02079k305 3357 3611 SH SOLE 3406 0 205 ALPHABET INC. 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