0001559968-19-000006.txt : 20190715
0001559968-19-000006.hdr.sgml : 20190715
20190715161435
ACCESSION NUMBER: 0001559968-19-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190715
DATE AS OF CHANGE: 20190715
EFFECTIVENESS DATE: 20190715
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: 19955334
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
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06-30-2019
06-30-2019
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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
07-15-2019
0
246
307406
INFORMATION TABLE
2
infotable.xml
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PRUDENTIAL FINL
COM
744320102
2441
24165
SH
SOLE
22665
0
1500
QUALCOMM INC
COM
747525103
708
9312
SH
SOLE
9312
0
0
RAYTHEON CO
COM
755111507
209
1200
SH
SOLE
1200
0
0
RIO TINTO PLC F SPONSORED ADR
COM
767204100
729
11700
SH
SOLE
10700
0
1000
ROYAL CARIBBEAN CRUISE F
COM
v7780t103
2446
20178
SH
SOLE
19718
0
460
ROYAL DUTCH SHELL A ADRF SPONS
COM
780259206
218
3350
SH
SOLE
3350
0
0
ROYAL DUTCH SHELL F SPONSORED
COM
780259107
638
9710
SH
SOLE
9210
0
500
S&P GLOBAL INC COM
COM
78409v104
281
1233
SH
SOLE
1233
0
0
SCHEIN HENRY INC
COM
806407102
489
7000
SH
SOLE
7000
0
0
SCHLUMBERGER LTD F
COM
806857108
274
6886
SH
SOLE
6786
0
100
SEAGATE TECHNOLOGY F
COM
g7945m107
239
5062
SH
SOLE
5062
0
0
SHERWIN WILLIAMS CO
COM
824348106
264
575
SH
SOLE
575
0
0
SKYWORKS SOLUTIONS
COM
83088m102
2295
29695
SH
SOLE
29140
0
555
STARBUCKS CORP
COM
855244109
271
3234
SH
SOLE
3234
0
0
STRYKER CORP
COM
863667101
1299
6321
SH
SOLE
6321
0
0
TAIWAN SEMICONDUCTR F SPONSORE
COM
874039100
684
17453
SH
SOLE
14951
0
2502
TEMPLETON DRAGON CF
COM
88018t101
240
12500
SH
SOLE
7500
0
5000
TEXAS INSTRUMENTS
COM
882508104
1383
12050
SH
SOLE
10050
0
2000
THE COCA-COLA CO
COM
191216100
2020
39663
SH
SOLE
39163
0
500
THE MOSAIC CO
COM
61945c103
330
13200
SH
SOLE
12200
0
1000
THERMO FISHER SCNTFC
COM
883556102
2374
8085
SH
SOLE
7910
0
175
TJX COMPANIES INC
COM
872540109
2238
42315
SH
SOLE
39115
0
3200
TRAVELERS COMPANIES
COM
89417e109
895
5988
SH
SOLE
5663
0
325
U S BANCORP
COM
902973304
803
15330
SH
SOLE
14330
0
1000
ULTA BEAUTY INC.
COM
90384s303
201
578
SH
SOLE
478
0
100
UNILEVER PLC F SPONSORED ADR 1
COM
904767704
3185
51389
SH
SOLE
49185
0
2204
UNION PACIFIC CORP
COM
907818108
1029
6087
SH
SOLE
6087
0
0
UNITED AIRLINES HLDGS
COM
910047109
726
8290
SH
SOLE
7790
0
500
UNITED PARCEL SRVC CLASS B
COM
911312106
210
2030
SH
SOLE
2030
0
0
UNITED TECHNOLOGIES
COM
913017109
865
6645
SH
SOLE
5745
0
900
UNITEDHEALTH GRP INC
COM
91324p102
3163
12962
SH
SOLE
10577
0
2385
VERIZON COMMUNICATN
COM
92343v104
4327
75735
SH
SOLE
71397
0
4338
VERIZON COMMUNICATN
COM
92343v104
48
841
SH
OTR
0
0
841
VF CORP
COM
918204108
2366
27084
SH
SOLE
25384
0
1700
VISA INC CLASS A
COM
92826c839
3103
17880
SH
SOLE
17880
0
0
WALGREENS BOOTS ALLI
COM
931427108
4002
73207
SH
SOLE
68237
0
4970
WALT DISNEY CO
COM
254687106
2106
15083
SH
SOLE
15083
0
0
WASHINGTON PRIME GROUP N REIT
COM
93964w108
31
8000
SH
SOLE
8000
0
0
WASHINGTON PRIME GROUP N REIT
COM
93964w108
76
20000
SH
OTR
0
0
20000
WASTE MANAGEMENT INC
COM
94106l109
104
900
SH
SOLE
0
0
900
WASTE MANAGEMENT INC
COM
94106l109
150
1300
SH
OTR
0
0
1300
WATERS CORP
COM
941848103
482
2240
SH
SOLE
2240
0
0
WELLS FARGO BK N A
COM
949746101
399
8441
SH
SOLE
6871
0
1570
WESBANCO INC
COM
950810101
6377
165413
SH
SOLE
165413
0
0
WESTERN DIGITAL CORP
COM
958102105
1151
24213
SH
SOLE
20863
0
3350
WEYERHAEUSER CO REIT
COM
962166104
248
9400
SH
SOLE
6800
0
2600
WHIRLPOOL CORP
COM
963320106
1002
7035
SH
SOLE
6815
0
220
WILLIAMS COMPANIES
COM
969457100
3490
124455
SH
SOLE
116120
0
8335
WILLIAMS COMPANIES
COM
969457100
67
2400
SH
OTR
0
0
2400
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
10000
SH
SOLE
10000
0
0
WORKDAY INC CLASS A
COM
98138h101
2678
13025
SH
SOLE
13025
0
0
YUM BRANDS INC
COM
988498101
979
8850
SH
SOLE
6700
0
2150
YUM CHINA HOLDINGS INC
COM
98850p109
367
7950
SH
SOLE
5600
0
2350
ZIMMER BIOMET HLDGS INCCOM
COM
98956p102
212
1800
SH
SOLE
1800
0
0
ETFIS SER TR I INFRACAPACTIVE
ETF
26923g103
178
32000
SH
OTR
0
0
32000
ISHARES MSCI EAFE ETF
ETF
464287465
295
4495
SH
SOLE
4495
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
64
971
SH
OTR
0
0
971
ISHARES MSCI EMERGING MARKETS
ETF
464287234
312
7279
SH
SOLE
4629
0
2650
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
242
2011
SH
SOLE
2011
0
0
ISHARES RUSSELL 2000GROWTH ETF
ETF
464287648
251
1250
SH
SOLE
1250
0
0
ISHARES RUSSELL MIDCAPGROWTH
ETF
464287481
1059
7430
SH
SOLE
7430
0
0
SCHWAB EMERGING MARKETS EQUITY
ETF
808524706
1601
61010
SH
SOLE
61010
0
0
SCHWAB US LARGE CAP GROWTH ETF
ETF
808524300
355
4270
SH
SOLE
4270
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1505
35385
SH
SOLE
31385
0
4000
WISDOMTREE TR EUROPE HEDGEDEQ
ETF
97717x701
763
11535
SH
SOLE
11535
0
0