Chief Executive Officer, Chief Compliance Officer, Chief Legal Officer, Financial Principal, Shareholder, Director · Dupree & Company, Inc.
III A. Grimes
CRD 4890647 · Named on Form ADV at one SEC-registered adviser
At a glance
Dupree & Company, Inc., an SEC-registered broker-dealer firm based in Lexington, KY with $888 million in regulatory assets, lists III A. Grimes on its Form ADV as Chief Executive Officer, Chief Compliance Officer, Chief Legal Officer, Financial Principal, Shareholder, Director, a control person.
Firms and roles
- Dupree & Company, Inc.Chief Executive Officer, Chief Compliance Officer, Chief Legal Officer, Financial Principal, Shareholder, DirectorBroker-dealer firm · Lexington, KY · $888M in regulatory assets
AtlasMembers
III’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
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Colleagues named on the same filings
- Michelle Marie DragooVice President, Secretary, Treasurer, Dupree & Company, Inc.
- Lamar Dupree GrimesShareholder, Director, Dupree & Company, Inc.
- Vincent Henry HarrisonVice President, Dupree & Company, Inc.
- Huston Barrow CombsVice President, Dupree & Company, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For III’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.