AK
Alan R. Konn
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Skokie, IL 60077
Some features on this profile are disabled
CRD#: 1406973
AK
Professional summary
Alan Robert Konn is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Skokie, Illinois and UHLMANN PRICE SECURITIES, LLC located in Chicago, Illinois.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Alan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ARK Investors Fund LLC Managing Member - with 38.9% ownership of the LLC ARK Investors Fund LLC, an Illinois limited liability company ("ARK"), was primarily for the purpose of making an investment and holding a direct membership interest in Price Asset Management LLC ("PAM"). ARK owns 16% of Price Asset Management LLC Hamlet's House LLC Title: Member 30% owner. LLC put together to own and create children's content for production of plays and potentially other commercial opportunities. No compensation is received. MEREO 4 HOLDINGS / 133 N JEFFERSON ST CHICAGO / NOT INVESTMENT RELATED / AIRCRAFT SUPPLY AND MAINTENANCE / MEMBER. BOARD OF DIRECTORS /2HR MO / 0 DURING TRADING / PARTICIAPTE IN QUARTERLY BOARD MEETINGS. CEI IS A LONG TIME CLIENT. CURRENTLY NO COMPENSATION Uhlmann Investment Management LLC, is Investment Related, 303 W Madison Street, Suite 1700, Chicago, IL, 60606, United States, Investment Advisor Services, Advisor, 10/01/2007, 5 hours per month, 1 hours per month during trading hours, Fee Based Compensation, UIM is owned by UP Securities to serve their advisory clients
CRS (Client Relationship Summary) - RIA
Click below to view Alan Robert Konn'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
February 23, 2009 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077RIA
CRD#: 118025
Skokie, IL
Current
April 1, 2003 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 200 S. Wacker Suite 2650, Chicago, IL 60606Office #2: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Chicago, IL
Past
March 6, 2007 - October 17, 2017
JAVCAP SECURITIES LLC
BD
CRD#: 142174
CHICAGO, IL
Past
September 25, 1985 - May 8, 2003
WILLIAM BLAIR
BD
CRD#: 1252
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".
UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
RIA
Registered Investment Advisory firm - (5/7/2018 Approved)Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)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(5/18/2005)
RR
Arizona(4/1/2003)
RR
California(4/1/2003)
IAR
California(5/9/2018)
RR
Colorado(4/1/2003)
IAR
Colorado(6/27/2025)
RR
Connecticut(4/1/2003)
IAR
Connecticut(6/27/2025)
RR
Delaware(3/15/2005)
IAR
Delaware(6/30/2025)
RR
Florida(4/1/2003)
RR
Georgia(3/22/2004)
IAR
Georgia(6/30/2025)
RR
Hawaii(12/1/2003)
RR
Illinois(4/1/2003)
IAR
Illinois(2/23/2009)
RR
Indiana(3/22/2004)
IAR
Indiana(6/27/2025)
RR
Iowa(11/25/2003)
IAR
Iowa(7/17/2025)
RR
Kansas(1/10/2005)
RR
Kentucky(4/1/2003)
RR
Louisiana(3/18/2005)
RR
Maryland(4/29/2005)
RR
Massachusetts(4/1/2003)
RR
Michigan(5/5/2003)
IAR
Michigan(7/1/2025)
RR
Minnesota(4/1/2003)
IAR
Minnesota(5/9/2018)
RR
Mississippi(8/5/2005)
RR
Missouri(4/14/2003)
RR
Montana(6/3/2010)
RR
Nebraska(4/7/2005)
RR
Nevada(4/1/2003)
IAR
Nevada(6/27/2025)
RR
New Hampshire(3/9/2005)
RR
New Jersey(4/1/2003)
RR
New Mexico(5/18/2005)
RR
New York(4/1/2003)
IAR
New York(6/28/2025)
RR
North Carolina(3/23/2004)
IAR
North Carolina(6/27/2025)
RR
Ohio(4/3/2003)
RR
Oklahoma(8/5/2005)
RR
Oregon(6/4/2003)
IAR
Oregon(10/11/2022)
RR
Pennsylvania(3/22/2004)
IAR
Pennsylvania(7/1/2025)
RR
South Carolina(10/14/2003)
IAR
South Carolina(6/30/2025)
RR
South Dakota(3/18/2005)
RR
Tennessee(7/15/2024)
RR
Texas(3/22/2004)
IAR
Texas(5/9/2018)
RR
Utah(7/22/2005)
RR
Vermont(1/27/2005)
RR
Virginia(2/8/2005)
RR
Washington(4/1/2003)
RR
Wisconsin(5/19/2003)
IAR
Wisconsin(7/1/2025)
RR
Wyoming(1/27/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CRD#: 118025 / SEC#: 801-113188
RIA
Registered Investment Advisory firm - (5/7/2018 Approved)Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)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
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Mailing Address
Phone number
(312) 264-4400
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (24 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 321 |
| AUM (Assets Under Management) | $ 241,656,376 |
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.
