0001559968-21-000004.txt : 20210420 0001559968-21-000004.hdr.sgml : 20210420 20210420104042 ACCESSION NUMBER: 0001559968-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210420 DATE AS OF CHANGE: 20210420 EFFECTIVENESS DATE: 20210420 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: 21836592 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 03-31-2021 03-31-2021 false Regent Investment Management LLC

4350 BROWNSBORO RD SUITE 120 LOUISVILLE KY 40207

13F HOLDINGS REPORT 028-15055 N STEVEN T. NAISER 502-719-1000 STEVEN T. NAISER LOUISVILLE KY 04-20-2021 0 234 397239 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579y101 1308 6790 SH SOLE 6765 0 25 3M CO COM 88579y101 35 181 SH OTR 0 0 181 A T & T INC COM 00206r102 2788 92116 SH SOLE 87961 0 4155 A T & T INC COM 00206r102 42 1400 SH OTR 0 0 1400 ABBOTT LABS COM 002824100 2072 17292 SH SOLE 17292 0 0 ABBVIE INC COM 00287y109 2192 20258 SH SOLE 20258 0 0 ABBVIE INC COM 00287y109 139 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 386 4155 SH SOLE 4155 0 0 ADOBE INC COM 00724f101 953 2005 SH SOLE 2005 0 0 ALBEMARLE CORP COM 012653101 1328 9090 SH SOLE 9090 0 0 ALGONQUIN PWR UTILS CORP COM 015857105 318 20100 SH SOLE 20100 0 0 ALIBABA GROUP HLDG LTD F SPONS SPONSORED ADS 01609w102 5364 23660 SH SOLE 22910 0 750 ALPHABET INC. CLASS A CAP STK CL A 02079k305 5237 2539 SH SOLE 2479 0 60 ALPHABET INC. 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