VICE PRESIDENT

0001559968-20-000009.txt : 20201019 0001559968-20-000009.hdr.sgml : 20201019 20201019160906 ACCESSION NUMBER: 0001559968-20-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201019 DATE AS OF CHANGE: 20201019 EFFECTIVENESS DATE: 20201019 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: 201246283 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 09-30-2020 09-30-2020 false 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 09-30-2020 0 222 323415 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1104 6890 SH SOLE 6865 0 25 3M CO COM 88579Y101 29 181 SH OTR 0 0 181 A T & T INC COM 00206r102 3616 126850 SH SOLE 122132 0 4718 A T & T INC COM 00206r102 47 1650 SH OTR 0 0 1650 ABBOTT LABS COM 002824100 2043 18771 SH SOLE 18771 0 0 ABBVIE INC COM 00287Y109 1687 19265 SH SOLE 19265 0 0 ABBVIE INC COM 00287Y109 112 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 369 4555 SH SOLE 4555 0 0 ADOBE INC COM 00724f101 1008 2055 SH SOLE 2055 0 0 ALBEMARLE CORP COM 012653101 849 9515 SH SOLE 9515 0 0 ALIBABA GROUP HOLDING F SPONSO SPONSORED ADS 01609w102 6117 20808 SH SOLE 20058 0 750 ALPHABET INC. CLASS A CAP STK CL A 02079k305 3654 2493 SH SOLE 2433 0 60 ALPHABET INC. 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