Frank N. Donnelly

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CRD#: 1258637

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.

Frank Nicholas Donnelly, who also goes by Frank N Donnelly, was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1984. Frank had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank N Donnelly

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.

JAMES E. BECK TRUST; TRUSTEE FOR PERSONAL FRIEND, TOTAL ASSETS, $3.0M. HE IS SUFFERING FROM [REDACTED]. TIME SPENT PER YEAR: 10-12 HOURS.

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 10, 2014 - November 7, 2022

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

RIA

CRD#: 107296

CHICAGO, IL

Past

March 5, 1987 - October 27, 1987

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

August 20, 1985 - March 11, 1987

CAROLINA SECURITIES CORPORATION

CRD#: 142

Past

June 18, 1984 - July 29, 1985

FLEET SECURITIES INC.

CRD#: 7147

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: 2/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/26/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/4/1984

Municipal Securities Representative Examination

Current Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA

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

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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.

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Advisor Monitoring

Firm Stability Insights

Frank N. Donnelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

A. G. EDWARDS & SONS, INC.

CAROLINA SECURITIES CORPORATION

FLEET SECURITIES INC.

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/2014

Series 63

Date: 6/4/1984

Series 3

Date: 8/26/1987

Series 7

Date: 8/17/1985

Series 52

Date: 6/4/1984

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

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