Adarsh D. Mashru

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CRD#: 5281747

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.

Adarsh Deepak Mashru, who also goes by Adarsh D. Mashru, was a registered financial professional .

Adarsh is a previously registered financial professional and started their career in finance in 2008. Adarsh had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adarsh D. Mashru

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.

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®

None

Experience

Past

October 19, 2018 - May 22, 2019

DUPREE FINANCIAL GROUP, LLC

RIA

CRD#: 131091

LEXINGTON, KY

Past

June 7, 2010 - August 1, 2012

DUPREE FINANCIAL GROUP, LLC

RIA

CRD#: 131091

LEXINGTON, KY

Past

May 20, 2010 - May 28, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LEXINGTON, KY

Past

April 9, 2009 - May 19, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LEXINGTON, KY

Past

October 6, 2008 - May 19, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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 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: 10/18/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/3/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/2/2008

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

Adarsh D. Mashru

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DUPREE FINANCIAL GROUP, LLC

DUPREE FINANCIAL GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DUPREE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2018

Series 66

Date: 4/3/2009

Series 7

Date: 10/2/2008

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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