Kevin J. Callahan

Some features on this profile are disabled

CRD#: 1016929

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.

Kevin John Callahan was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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

February 29, 2012 - October 26, 2015

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

RIA

CRD#: 107296

JACKSONVILLE, FL

Past

February 28, 2012 - October 2, 2015

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

July 21, 2010 - July 28, 2011

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

ATLANTA, GA

Past

April 16, 2007 - August 18, 2010

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

June 21, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 26, 2000 - March 2, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 5, 1996 - February 29, 2000

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

Past

September 1, 1994 - June 29, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 13, 1993 - August 10, 1994

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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".

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

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

State Security Law Exam

IAR

Series 65

Date: 1/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/31/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/10/1993

General Securities Representative Examination

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

Registered Investment Advisory firm - (7/2/1979 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10 S. Wacker Drive 19th Floor, Chicago, IL 60606

Mailing Address

Phone number

(312) 263-2610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DPIM ADV PART2A 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 12,227,914,131

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin J. Callahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VP DISTRIBUTORS LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

ING INVESTMENT MANAGEMENT SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GPC SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/1995

Series 63

Date: 10/10/1994

SIE

Date: 10/2/2015

Series 31

Date: 5/31/2000

Series 7

Date: 9/10/1993

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

Similar Advisors