Kathleen L. Hegyi

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2229746

Professional summary

Kathleen Louise Hegyi is a registered financial advisor currently at DUFF & PHELPS INVESTMENT MANAGEMENT CO. located in Chicago, Illinois and VP DISTRIBUTORS LLC located in Chicago, Illinois.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kathleen has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Louise Hegyi'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®

None

Experience

Current

September 20, 2022 - Present

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

RIA

CRD#: 107296

Chicago, IL

Current

September 20, 2022 - Present

VP DISTRIBUTORS LLC

Office #1: 10 S. Wacker Drive 19th Floor, Chicago, IL 60606

CRD#: 3036

Chicago, IL

Past

August 24, 2010 - September 7, 2022

WILLIAM BLAIR

RIA

CRD#: 1252

CHICAGO, IL

Past

August 24, 2010 - September 7, 2022

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

June 17, 2010 - August 26, 2010

AMG FUNDS LLC

RIA

CRD#: 153456

STAMFORD, CT

Past

March 31, 2008 - June 17, 2010

AMG DISTRIBUTORS, INC.

RIA

CRD#: 27314

CHICAGO, IL

Past

March 31, 2008 - August 23, 2010

AMG DISTRIBUTORS, INC.

CRD#: 27314

CHICAGO, IL

Past

May 13, 2005 - March 14, 2008

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

January 2, 2002 - October 26, 2004

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

PORTLAND, ME

Past

May 20, 1998 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

February 23, 1996 - November 5, 1996

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 13, 1993 - August 28, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

July 1, 1992 - January 26, 1993

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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.

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

Illinois
(9/20/2022)

IAR

Illinois
(9/20/2022)

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: 8/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/14/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/29/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen L. Hegyi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Louise Hegyi's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

WILLIAM BLAIR

WILLIAM BLAIR

AMG FUNDS LLC

AMG DISTRIBUTORS, INC.

AMG DISTRIBUTORS, INC.

NORTHERN TRUST SECURITIES, INC.

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

DWS DISTRIBUTORS, INC.

CIBC WORLD MARKETS CORP.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1996

Series 63

Date: 6/30/1992

SIE

Date: 10/1/2018

Series 3

Date: 5/14/2012

Series 7

Date: 6/29/1992

Series 24

Date: 2/9/2006

FINRA

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