Dennis P. Kiley

NUVEEN ASSET MANAGEMENT

Chicago, IL 60606

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CRD#: 2072156

Professional summary

Dennis Patrick Kiley, CIMA® is a registered financial advisor currently at NUVEEN ASSET MANAGEMENT, LLC located in Chicago, Illinois and NUVEEN SECURITIES, LLC located in Chicago, Illinois.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dennis has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Name: Community Support Services (CSS) Position: member of the board of directors Nature: As a board member I would help provide oversight over Community Support Services on their operations budget support programs and family engagement. Investment Related: No Hours: 3 Securities Trading Hours: 0 Start Date: 6/15/2021 Address: 9021 Ogden Ave Brookfield IL 60513 Description: Non for profit organization that provides community services for people and their family that have intellectual/development disabilities in order to strengthen their independence self-esteem and the ability to participate in and contribute to community life. CSS is located in the Western suburbs of Chicago.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Kiley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 28, 2020 - Present

NUVEEN ASSET MANAGEMENT, LLC

Office #1: 333 West Wacker Drive Suite 2300, Chicago, IL 60606

RIA

CRD#: 155584

Chicago, IL

Current

September 28, 2020 - Present

NUVEEN SECURITIES, LLC

Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286

CRD#: 469

Chicago, IL

Past

November 27, 2019 - October 12, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

AURORA, IL

Past

November 27, 2019 - October 12, 2020

LPL FINANCIAL LLC

CRD#: 6413

AURORA, IL

Past

September 1, 2011 - April 26, 2019

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

January 25, 2008 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

January 25, 2008 - April 24, 2019

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

May 17, 2006 - October 19, 2007

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

May 4, 2006 - October 10, 2007

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 23, 2005 - September 30, 2005

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ITASCA, IL

Past

August 22, 2005 - September 30, 2005

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

November 22, 2004 - August 15, 2005

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

July 19, 2004 - November 29, 2004

HARRISDIRECT LLC

RIA

CRD#: 42159

WESTCHESTER, IL

Past

July 19, 2004 - November 29, 2004

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

July 7, 2004 - July 14, 2004

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

GURNEE, IL

Past

December 4, 2003 - July 13, 2004

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

August 6, 2002 - December 6, 2003

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WESTERN SPRINGS, IL

Past

July 10, 2002 - December 6, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 15, 1999 - July 8, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

July 30, 1998 - October 11, 1999

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 1, 1998 - July 29, 1998

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

October 29, 1993 - January 1, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, 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".

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/28/2020)

Alaska
(9/28/2020)

Arizona
(9/28/2020)

Arkansas
(9/28/2020)

California
(9/28/2020)

Colorado
(9/28/2020)

Connecticut
(9/28/2020)

Delaware
(9/28/2020)

District of Columbia
(9/28/2020)

Florida
(9/28/2020)

Georgia
(9/28/2020)

Hawaii
(9/28/2020)

Idaho
(9/28/2020)

Illinois
(9/28/2020)

IAR

Illinois
(9/28/2020)

Indiana
(9/28/2020)

Iowa
(9/28/2020)

Kansas
(9/28/2020)

Kentucky
(9/28/2020)

Louisiana
(9/28/2020)

Maine
(9/28/2020)

Maryland
(9/28/2020)

Massachusetts
(9/28/2020)

Michigan
(9/28/2020)

Minnesota
(9/28/2020)

Mississippi
(9/28/2020)

Missouri
(9/28/2020)

Montana
(9/28/2020)

Nebraska
(9/28/2020)

Nevada
(9/28/2020)

New Hampshire
(9/28/2020)

New Jersey
(9/28/2020)

New Mexico
(9/28/2020)

New York
(9/28/2020)

North Carolina
(9/28/2020)

North Dakota
(9/28/2020)

Ohio
(9/28/2020)

Oklahoma
(9/28/2020)

Oregon
(9/28/2020)

Pennsylvania
(9/28/2020)

Puerto Rico
(9/28/2020)

Rhode Island
(9/28/2020)

South Carolina
(9/28/2020)

South Dakota
(9/28/2020)

Tennessee
(9/28/2020)

Texas
(9/28/2020)

Utah
(9/28/2020)

Vermont
(9/28/2020)

Virgin Islands
(9/28/2020)

Virginia
(9/28/2020)

Washington
(9/28/2020)

West Virginia
(9/28/2020)

Wisconsin
(9/28/2020)

Wyoming
(9/28/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/28/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

CRD#: 155584 / SEC#: 801-71957

RIA

Registered Investment Advisory firm - (11/24/2010 Approved)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606

Mailing Address

Phone number

(312) 917-7700

Established

Firm type

Fiscal year end

# of Employees

373

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NUVEEN ASSET MANAGEMENT, LLC FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	71,370
AUM (Assets Under Management)	$ 259,916,966,911

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
12/19/2024	Cover Page	Report
12/15/2023	Cover Page	Report
12/15/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Dennis P. Kiley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Kiley's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

HARRISDIRECT LLC

HARRISDIRECT LLC

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

LASALLE ST SECURITIES, L.L.C.

CETERA INVESTMENT SERVICES LLC

BOFA DISTRIBUTORS, INC.

IFMG SECURITIES, INC.

Primary Firm SEC Registration

NUVEEN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/1996

Series 63

Date: 9/30/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1996

Series 6

Date: 10/28/1993

FINRA

Current Firm

NUVEEN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NUVEEN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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