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JC

John L. Creswell

Some features on this profile are disabled
CRD#: 2943302
JC

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.

John Luther Creswell, who also goes by John L Creswell, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John L Creswell

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

May 17, 2016 - November 27, 2023

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

RIA
CRD#: 107296
CHICAGO, IL
Past

February 3, 2016 - June 14, 2017

EUCLID ADVISORS LLC

RIA
CRD#: 109483
CHICAGO, IL
Past

October 9, 2012 - February 3, 2016

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
NEW YORK, NY
Past

October 9, 2012 - November 27, 2023

VP DISTRIBUTORS LLC

BD
CRD#: 3036
CHICAGO, IL
Past

September 13, 2010 - September 4, 2012

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
CHICAGO, IL
Past

July 7, 2009 - May 11, 2010

FRIDSON INVESTMENT ADVISORS, LLC

RIA
CRD#: 147093
CHICAGO, IL
Past

May 29, 2001 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
RADNOR, PA
Past

May 27, 2000 - February 5, 2009

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

May 26, 1999 - February 5, 2009

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

February 20, 1998 - February 4, 1999

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

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".
D&
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
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.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1998
General Securities Representative Examination

Current Firm

D&
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296 / SEC#: 801-14813

RIA
Registered Investment Advisory firm - (7/2/1979 Approved)
PREMIUM
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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
55

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts52
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.

Company Information

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD#: 107296

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