DM
Dennis W. Markey
NORTHERN TRUST INVESTMENTS
Chicago, IL 60675
Some features on this profile are disabled
CRD#: 4993880
DM
Professional summary
Dennis William Markey, who also goes by Dennis Markey, is a registered financial advisor currently at NORTHERN TRUST INVESTMENTS, INCORPORATED located in Chicago, Illinois and NORTHERN TRUST SECURITIES, INC. located in Chicago, Illinois.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Dennis has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Markey
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.
(1) - Michigan State University - Financial Markets Institute; I have been asked to serve on the board of the Financial Markets Institute at Michigan State University. In this capacity, I'll be asked to join two board meetings a year to discuss the curriculum, hear and provide feedback on stock pitches from the students in the Portfolio Management and Securities Analysis Classes and answer career questions from the FMI Scholars in the program.; Supervisory Board Member; In this capacity, I'll be asked to join two board meetings a year to discuss the curriculum, hear and provide feedback on stock pitches from the students in the Portfolio Management and Securities Analysis Classes and answer career questions from the FMI Scholars in the program.; 1 hrs/month; Start Date:02-14-2025
CRS (Client Relationship Summary) - RIA
Click below to view Dennis William Markey's 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®
NoneExperience
Current
August 22, 2025 - Present
NORTHERN TRUST INVESTMENTS, INCORPORATED
Office #1: 181 West Madison, Chicago, IL 60675RIA
CRD#: 105780
Chicago, IL
Current
August 22, 2025 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 181 West Madison, Chicago, IL 60675RIA
BD
CRD#: 7927
Chicago, IL
Past
February 9, 2018 - August 18, 2025
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Chicago, IL
Past
January 3, 2012 - August 18, 2025
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
CHICAGO, IL
Past
July 14, 2011 - April 19, 2018
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
July 14, 2011 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
CHICAGO, IL
Past
September 18, 2006 - June 14, 2011
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
WHEATON, IL
Past
April 13, 2006 - September 18, 2006
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
WHEATON, IL
Past
September 12, 2005 - March 30, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RIVERWOODS, IL
Past
August 18, 2005 - March 30, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 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.RR
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
RR
Alabama(8/25/2025)
RR
Alaska(8/25/2025)
RR
Arizona(8/25/2025)
RR
Arkansas(8/25/2025)
RR
California(8/25/2025)
RR
Colorado(8/25/2025)
RR
Connecticut(8/25/2025)
RR
Delaware(8/25/2025)
RR
District of Columbia(8/25/2025)
RR
Florida(8/25/2025)
RR
Georgia(8/25/2025)
RR
Hawaii(8/25/2025)
RR
Idaho(8/25/2025)
RR
Illinois(8/22/2025)
IAR
Illinois(8/22/2025)
RR
Indiana(8/25/2025)
RR
Iowa(8/25/2025)
RR
Kansas(8/25/2025)
RR
Kentucky(8/25/2025)
RR
Louisiana(8/25/2025)
RR
Maine(8/25/2025)
RR
Maryland(8/25/2025)
RR
Massachusetts(8/25/2025)
RR
Michigan(8/25/2025)
RR
Minnesota(8/25/2025)
RR
Mississippi(8/25/2025)
RR
Missouri(8/25/2025)
RR
Montana(8/25/2025)
RR
Nebraska(8/25/2025)
RR
Nevada(8/25/2025)
RR
New Hampshire(8/25/2025)
RR
New Jersey(8/25/2025)
RR
New Mexico(8/25/2025)
RR
New York(8/25/2025)
RR
North Carolina(8/25/2025)
RR
North Dakota(8/25/2025)
RR
Ohio(8/25/2025)
RR
Oklahoma(8/25/2025)
RR
Oregon(8/25/2025)
RR
Pennsylvania(8/25/2025)
RR
Puerto Rico(8/25/2025)
RR
Rhode Island(8/25/2025)
RR
South Carolina(8/25/2025)
RR
South Dakota(8/25/2025)
RR
Tennessee(8/25/2025)
RR
Texas(8/25/2025)
RR
Utah(8/25/2025)
RR
Vermont(8/25/2025)
RR
Virgin Islands(8/25/2025)
RR
Virginia(8/25/2025)
RR
Washington(8/25/2025)
RR
West Virginia(8/25/2025)
RR
Wisconsin(8/25/2025)
RR
Wyoming(8/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NT
NORTHERN TRUST INVESTMENTS, INCORPORATED
NORTHERN TRUST INVESTMENTS INC. | NTI, INC. | NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION. | NORTHERN TRUST INVESTMENTS, INCORPORATED
CRD#: 105780 / SEC#: 801-33358
RIA
Registered Investment Advisory firm - (11/25/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 S Lasalle Street, Chicago, IL 60603-1008
Mailing Address
Phone number
(312) 630-6000
Established
Firm type
Fiscal year end
# of Employees
674
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,475 |
| AUM (Assets Under Management) | $ 1,114,770,223,733 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 09/27/2024 | ||
| 08/24/2023 |
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.
