# DUPREE FINANCIAL GROUP, LLC

DUPREE FINANCIAL GROUP, LLC of LEXINGTON, KY is an SEC-registered investment adviser.

## Registration

- CRD: 131091
- Type: SEC-registered investment adviser
- SEC file number: 801-71497
- Location: 237 EAST MAIN STREET, LEXINGTON, KY, 40507
- Phone: 859-233-0400
- Latest filing: 2026-04-17
- Regulatory AUM: $404.4M
- Discretionary AUM: $404.4M
- Clients: 7
- Accounts: 1,655

## Business model

- Compensation: % of AUM
- Clients served: High net worth

## Officers, owners & control persons (9)

| Name | Role | Location |
| --- | --- | --- |
| Thomas Parmelee Dupree | MANAGER / MEMBER | — |
| William Martin Ambrose | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| DUPREE THOMAS P | CHIEF COMPLIANCE OFFICER; GENERAL SECURITIES REPRESENTATIVE; SOLE OWNER | — |
| DUPREE THOMAS PARMELEE | CHIEF COMPLIANCE OFFICER; MANAGER; MANAGER / MEMBER (+2 more) | — |
| DUPREE ELIZABETH HOST | MANAGER | — |
| GRIDER MARGARET LEE | CHIEF COMPLIANCE OFFICER | — |
| AMBROSE WILLIAM MARTIN | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| AMBROSE WILLIAM M | CHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER | — |
| David Hudson Kemp | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISOR REPRESENTATIVE | Lexington, KY |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2015-04-10 | regulatory | FAILURE TO CONDUCT ANNUAL COMPLIANCE REVIEWS OVER A MULTI-YEAR PERIOD, PURSUANT TO SECTION 206(4) OF THE ADVISERS ACT. | Final | $25K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/131091/brochure
- Similar advisers: https://search.stillhousedata.com/firm/131091/similar
- Related entities: https://search.stillhousedata.com/firm/131091/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/131091

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.