0001559968-20-000003.txt : 20200130 0001559968-20-000003.hdr.sgml : 20200130 20200130142942 ACCESSION NUMBER: 0001559968-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200130 DATE AS OF CHANGE: 20200130 EFFECTIVENESS DATE: 20200130 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: 20560870 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 12-31-2019 12-31-2019 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 01-30-2020 0 248 327180 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579y101 1347 7633 SH SOLE 7383 0 250 3M CO COM 88579y101 32 181 SH OTR 0 0 181 A T & T INC COM 00206r102 4135 105816 SH SOLE 99299 0 6517 A T & T INC COM 00206r102 64 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 1645 18941 SH SOLE 17541 0 1400 ABBVIE INC COM 00287y109 1395 15751 SH SOLE 15116 0 635 ABBVIE INC COM 00287y109 113 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 411 6909 SH SOLE 4355 0 2554 ADOBE INC COM 00724f101 732 2220 SH SOLE 2220 0 0 ALBEMARLE CORP COM 012653101 888 12155 SH SOLE 12155 0 0 ALIBABA GROUP HOLDING F SPONSO COM 01609w102 5159 24325 SH SOLE 23375 0 950 ALLERGAN PLC F COM g0177j108 301 1573 SH SOLE 1393 0 180 ALPHABET INC. CLASS A COM 02079k305 3695 2759 SH SOLE 2649 0 110 ALPHABET INC. 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