Unclaimed Profile

Frank James Haggerty

DUFF & PHELPS INVESTMENT MANAGEMENT CO.·CHICAGO, Illinois

Series 6, Series 63Clean record14 years registeredDUFF & PHELPS INVESTMENT MANAGEMENT CO.

200 S. WACKER DRIVE, CHICAGO, IL 60606CRD# 2450702Firm CRD# 107296

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Frank James Haggerty · CHICAGO, IL

Registration

CRD #2450702 · DUFF & PHELPS INVESTMENT MANAGEMENT CO. · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DUFF & PHELPS INVESTMENT MANAGEMENT CO.

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Aug 2012 – Dec 2025

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

Series 6

Series 63

Registration record

First registered · August 6, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

CRD 107296 · SEC 801-14813

AUM

$12.3B

Regulatory assets under management

Employees

61 client accounts

Services offered by DUFF & PHELPS INVESTMENT MANAGEMENT CO.

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at DUFF & PHELPS INVESTMENT MANAGEMENT CO. →

Introduction

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Frequently Asked Questions

What services does Frank James Haggerty offer?

Frank James Haggerty specializes in Investment Management, Retirement Planning, Wealth Management.

What are Frank James Haggerty's credentials?

Frank James Haggerty is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Frank James Haggerty located?

Frank James Haggerty is based in CHICAGO, Illinois, last registered with DUFF & PHELPS INVESTMENT MANAGEMENT CO..

How does Frank James Haggerty charge for services?

Frank James Haggerty's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DUFF & PHELPS INVESTMENT MANAGEMENT CO.?

DUFF & PHELPS INVESTMENT MANAGEMENT CO. has approximately 54 employees and manages $12.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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