DH
David W. Harrison
DUPREE & COMPANY
Lexington, KY 40507-1683
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CRD#: 2476851
DH
Professional summary
David Wesley Harrison is a registered financial professional currently at DUPREE & COMPANY, INC. located in Lexington, Kentucky.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Wesley Harrison's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 30, 2003 - Present
DUPREE & COMPANY, INC.
Office #1: 125 South Mill Street, Lexington, KY 40507-1683Office #2: 125 South Mill Street, Lexington, KY 40507-1683RIA
BD
CRD#: 1697
Lexington, KY
Past
February 14, 2000 - January 17, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
LOUISVILLE, KY
Past
March 26, 1998 - January 17, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DUPREE & COMPANY, INC.
DUPREE & COMPANY, INC.
CRD#: 1697 / SEC#: 801-13157, 8-10938
RIA
Registered Investment Advisory firm - SEC (8/4/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Kentucky(1/30/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DUPREE & COMPANY, INC.
DUPREE & COMPANY, INC.
CRD#: 1697 / SEC#: 801-13157, 8-10938
RIA
Registered Investment Advisory firm - SEC (8/4/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
125 South Mill Street, Lexington, KY 40507
Mailing Address
P. O. Box 1149, Lexington, KY 40588-1149
Phone number
(859) 254-7741
Established
Kentucky since 06/29/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
SEC notice filing (1 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRIMES, LAMAR DUPREE | SHAREHOLDER, DIRECTOR | 1741495 |
| COMBS, HUSTON BARROW | VICE PRESIDENT | 2918837 |
| DRAGOO, MICHELLE MARIE | VICE PRESIDENT, SECRETARY, TREASURER | 1637435 |
| GRIMES, III, ALLEN EVANS MR. | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER, FINANCIAL PRINCIPAL, SHAREHOLDER, DIRECTOR | 4890647 |
| HARRISON, VINCENT HENRY | VICE PRESIDENT | 2469232 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 956,478,786 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DUPREE & COMPANY, INC.
CRD#: 1697Lexington, KY 40507-1683TRUST BUT VERIFY
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