Thomas P. Dupree

DUPREE FINANCIAL GROUP

Lexington, KY 40507

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CRD#: 860749

Professional summary

Thomas Parmelee Dupree JR, who also goes by Thomas P Dupree Jr, is a registered financial advisor currently at DUPREE FINANCIAL GROUP, LLC located in Lexington, Kentucky.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas P Dupree Jr

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.

DUPREE ENERGY RESOURCES,LLC, FORMED NOV. 2012, 237 E. MAIN ST.,LEXINGTON,KY. 40507. TO SELL ELECTRICITY PRODUCED BY GRIDFOX 1020 SYSTEMS,-PARTNER, APPROXIMATE 10 HOURS/MONTHLY,WITH 0 HOURS/MONTHLY DURING TRADING HOURS. DUPREE ENERGY MANAGEMENT,LLC FORMED NOV. 2012, 237 E. MAIN ST., LEXINGTON, KY 40507. PURPOSE OF MANAGING DUPREE ENERGY RESOURCES,LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Parmelee Dupree JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2010 - Present

DUPREE FINANCIAL GROUP, LLC

Office #1: 237 East Main Street, Lexington, KY 40507

RIA

CRD#: 131091

Lexington, KY

Past

May 21, 2010 - May 28, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

May 20, 2010 - May 28, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LEXINGTON, KY

Past

June 8, 2009 - May 19, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LEXINGTON, KY

Past

June 3, 2005 - June 10, 2005

DUPREE FINANCIAL GROUP, LLC

RIA

CRD#: 131091

LEXINGTON, KY

Past

July 18, 2003 - May 19, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LEXINGTON, KY

Past

September 19, 2002 - July 30, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LEXINGTON, KY

Past

January 2, 1990 - July 30, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 2, 1988 - January 9, 1990

DUPREE & COMPANY, INC.

CRD#: 1697

LEXINGTON, KY

Past

December 14, 1983 - March 15, 1988

ROTAN MOSLE INC.

CRD#: 727

Past

December 27, 1978 - October 19, 1983

DUPREE & COMPANY, INC.

CRD#: 1697

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(6/23/2010)

IAR

Texas
(6/22/2017)

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: 8/2/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/12/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/12/2004

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Thomas P. Dupree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Parmelee Dupree JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

DUPREE FINANCIAL GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DUPREE & COMPANY, INC.

ROTAN MOSLE INC.

DUPREE & COMPANY, INC.

Primary Firm SEC Registration

DUPREE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/2/2010

Series 63

Date: 1/5/1984

Series 7

Date: 12/16/1978

Series 10

Date: 4/12/2004

Series 9

Date: 4/12/2004

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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