Thomas P. Dupree

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CRD#: 73838

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.

Thomas Parmalee Dupree SR was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1955. Thomas had worked at 1 firm and has passed the SIE and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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.

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 17, 1955 - February 13, 2018

DUPREE & COMPANY, INC.

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.

CRD#: 1697 / SEC#: 801-13157, 8-10938

RIA

Registered Investment Advisory firm - SEC (8/4/1977 Approved)

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.

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

General Industry/Product Exam

SIE

Date: 2/13/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 00

Date: 10/17/1955

General Securities Principal Examination

Current Firm

DUPREE & COMPANY, INC.

CRD#: 1697 / SEC#: 801-13157, 8-10938

RIA

Registered Investment Advisory firm - SEC (8/4/1977 Approved)

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

SEC notice filing (1 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

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

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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Thomas P. Dupree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DUPREE & COMPANY, INC.

Primary Firm SEC Registration

DUPREE & COMPANY, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 2/13/2018

Series 00

Date: 10/17/1955

Current Firm

DUPREE & COMPANY, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

DUPREE & COMPANY, INC.

TRUST BUT VERIFY

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