Chadwick C. Sturgill

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CRD#: 2761315

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Chadwick Cabell Sturgill, AIF®, who also goes by Chad Sturgill, was a registered financial professional .

Chadwick is a previously registered financial professional and started their career in finance in 1996. Chadwick had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chad Sturgill

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.

My wife and I co-own 2 residential rental properties which I manage from our residence (Chad and Missy Sturgill, 2489 Brookshire Circle, Lexington, KY 40515) The first property was placed into service in March 2008. The business is NON-INVESTMENT RELATED. Managing includes advertising, showing and renting the units when they turn over, completing minor repair and maintenance tasks, coordinating maintenance and repair contractors, and handling financial record keeping duties. On average, I spend about 5 hours per month managing the two properties with about 1 hour a month during market hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

April 11, 2022 - November 12, 2024

DUPREE FINANCIAL GROUP, LLC

RIA

CRD#: 131091

LEXINGTON, KY

Past

March 11, 2002 - March 25, 2003

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

LEXINGTON, KY

Past

March 4, 2002 - March 25, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

June 2, 2000 - December 14, 2001

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 6, 1997 - June 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

August 14, 1996 - August 30, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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 FINANCIAL GROUP, LLC

DUPREE FINANCIAL GROUP | DUPREE FINANCIAL GROUP, LLC

CRD#: 131091 / SEC#: 801-71497

RIA

Registered Investment Advisory firm - (6/4/2010 Approved)

Texas

Registered Investment Advisory firm - (3/21/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/13/1996

General Securities Representative Examination

Current Firm

DUPREE FINANCIAL GROUP, LLC

DUPREE FINANCIAL GROUP | DUPREE FINANCIAL GROUP, LLC

CRD#: 131091 / SEC#: 801-71497

RIA

Registered Investment Advisory firm - (6/4/2010 Approved)

Texas

Registered Investment Advisory firm - (3/21/2016 Terminated)

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Contact information

Main Address

237 East Main Street, Lexington, KY 40507

Mailing Address

Phone number

(859) 233-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FORM ADV PART 2 V2 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	1,615
AUM (Assets Under Management)	$ 330,218,102

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Chadwick C. Sturgill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

MORGAN KEEGAN & COMPANY, LLC

J.C. BRADFORD & CO.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

DUPREE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/1999

Series 63

Date: 8/4/1997

Series 7

Date: 8/13/1996

Current Firm

DUPREE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUPREE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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