DUPREE FINANCIAL GROUP, LLC of LEXINGTON, KY is an SEC-registered investment adviser (CRD 131091). Regulatory assets under management: $404.4M.
Compensation: % of AUM.
Clients served: High net worth.
| 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 |
| 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 |