Frank J. Haggerty

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2450702

Professional summary

Frank James Haggerty JR, who also goes by Frank James Haggerty, Jamie Haggerty Jr, is a registered financial advisor currently at DUFF & PHELPS INVESTMENT MANAGEMENT CO. located in Chicago, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Frank has worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank James Haggerty | Jamie Haggerty Jr

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 Frank James Haggerty JR'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

August 6, 2012 - Present

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

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

RIA

CRD#: 107296

Chicago, IL

Past

May 25, 1994 - August 1, 1994

KEMPER FINANCIAL SERVICES, INC.

CRD#: 798

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/6/2012)

IAR

Texas
(8/6/2012)

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

Series 63

Date: 6/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/24/1994

Investment Company Products/Variable Contracts 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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank J. Haggerty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank James Haggerty JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

KEMPER FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1994

Series 6

Date: 5/24/1994

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