0001559968-21-000008.txt : 20211021 0001559968-21-000008.hdr.sgml : 20211021 20211021124214 ACCESSION NUMBER: 0001559968-21-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211021 DATE AS OF CHANGE: 20211021 EFFECTIVENESS DATE: 20211021 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: 211336424 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 09-30-2021 09-30-2021 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 10-21-2021 0 244 417590 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579y101 1217 6940 SH SOLE 6915 0 25 3M CO COM 88579y101 32 181 SH OTR 0 0 181 A T & T INC COM 00206r102 1041 38559 SH SOLE 38559 0 0 A T & T INC COM 00206r102 38 1400 SH OTR 0 0 1400 ABBOTT LABS COM 002824100 2043 17292 SH SOLE 17292 0 0 ABBVIE INC COM 00287y109 2260 20947 SH SOLE 20947 0 0 ABBVIE INC COM 00287y109 138 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 322 4155 SH SOLE 4155 0 0 ADOBE INC COM 00724f101 1140 1980 SH SOLE 1980 0 0 ALBEMARLE CORP COM 012653101 1782 8140 SH SOLE 8140 0 0 ALIBABA GROUP HLDG LTD F SPONS SPONSORED ADS 01609w102 2362 15956 SH SOLE 15206 0 750 ALPHABET INC. CLASS A CAP STK CL A 02079k305 6521 2439 SH SOLE 2379 0 60 ALPHABET INC. 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