AG
Allen E. Grimes, Iii
DUPREE & COMPANY
Lexington, KY 40507-1683
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CRD#: 4890647
AG
Professional summary
Allen Evans Grimes, Iii MR. is a registered financial professional currently at DUPREE & COMPANY, INC. located in Lexington, Kentucky.
Allen is registered as a RR (Registered Representative) and started their career in finance in 2005. Allen has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 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 Allen Evans Grimes, Iii MR.'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
February 11, 2005 - 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
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(3/4/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
Company Information
DUPREE & COMPANY, INC.
CRD#: 1697Lexington, KY 40507-1683TRUST BUT VERIFY
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