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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Dennis Patrick Kiley

Advisor at NUVEEN ASSET MANAGEMENT, LLC

Chicago, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9ad0e0b8-8d99-6b5a-69d5-548014a0df2f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Aug 6, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NUVEEN ASSET MANAGEMENT, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 30, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 30, 1993
First registration: Aug 6, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2072156

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Sep 28, 2020	n/a	yes	Chicago, IL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 27, 2019	Oct 12, 2020	no	MADISON, WI\|AURORA, IL\|North Aurora, IL\|NORTH AURORA, IL\|AURORA, IL\|AURORA, IL\|CHICAGO, IL\|JOLIET, IL\|CHICAGO, IL\|N. AURORA, IL\|FRANKFORT, IL\|BATAVIA, IL\|CHICAGO, IL\|AURORA, IL\|ST. CHARLES, IL	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Sep 1, 2011	Apr 26, 2019	no	CHICAGO, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Jan 25, 2008	Sep 1, 2011	no	CHICAGO, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	May 17, 2006	Oct 19, 2007	no	CHICAGO, IL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Aug 23, 2005	Sep 30, 2005	no	ITASCA, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 19, 2004	Nov 29, 2004	no	WESTCHESTER, IL	Previous registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.	Bd affiliated wealth	Jul 7, 2004	Jul 14, 2004	no	GURNEE, IL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Aug 6, 2002	Dec 6, 2003	no	WESTERN SPRINGS, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	NUVEEN ASSET MANAGEMENT, LLC	Oct 12, 2020	Sep 28, 2020	-14	Firm change	Ibd to RIA
NUVEEN ASSET MANAGEMENT, LLC	LPL FINANCIAL LLC	Apr 26, 2019	Nov 27, 2019	215	Firm change	RIA to ibd
NUVEEN FUND ADVISORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other
FIFTH THIRD SECURITIES, INC.	NUVEEN FUND ADVISORS, LLC	Sep 30, 2005	May 17, 2006	229	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	FIFTH THIRD SECURITIES, INC.	Nov 29, 2004	Aug 23, 2005	267	Firm change	Other
LASALLE ST. INVESTMENT ADVISORS, L.L.C.	E*TRADE CAPITAL MANAGEMENT, LLC	Jul 14, 2004	Jul 19, 2004	5	Firm change	Other
INVEST FINANCIAL CORPORATION	LASALLE ST. INVESTMENT ADVISORS, L.L.C.	Dec 6, 2003	Jul 7, 2004	214	Firm change	Other

Relationships

Registered with (7)

→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 1, 2011 to Apr 26, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 27, 2019 to Oct 12, 2020factForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 25, 2008 to Sep 1, 2011factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Aug 23, 2005 to Sep 30, 2005factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 19, 2004 to Nov 29, 2004factForm ADV
→ LASALLE ST. INVESTMENT ADVISORS, L.L.C.Registered adviserregistration: previous registration
Jul 7, 2004 to Jul 14, 2004factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Aug 6, 2002 to Dec 6, 2003factForm ADV

Dated events

No dated event names this entity yet.