TF
Terry M. Finkel
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Skokie, IL 60077
Some features on this profile are disabled
CRD#: 1453583
TF
Professional summary
Terry Michael Finkel is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Skokie, Illinois and UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.
Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Terry has worked at 5 firms and has passed the Series 63, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Terry Michael Finkel'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
December 3, 2012 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077RIA
CRD#: 118025
Skokie, IL
Current
November 23, 2012 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Skokie, IL
Past
January 1, 2008 - November 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SKOKIE, IL
Past
January 1, 2008 - November 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SKOKIE, IL
Past
February 8, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SKOKIE, IL
Past
August 4, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SKOKIE, IL
Past
January 21, 1986 - August 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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".
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)Kansas
Registered Investment Advisory firm - (1/15/2026 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
Alaska(7/9/2025)
RR
Arizona(11/23/2012)
RR
California(11/23/2012)
RR
Colorado(11/14/2014)
RR
Connecticut(11/23/2012)
RR
Florida(11/23/2012)
RR
Illinois(11/26/2012)
IAR
Illinois(12/3/2012)
RR
Maine(1/3/2022)
RR
Maryland(2/21/2024)
RR
Michigan(11/23/2012)
RR
Nevada(11/23/2012)
IAR
Nevada(6/12/2025)
RR
New Mexico(3/8/2016)
RR
New York(1/25/2018)
IAR
New York(6/11/2025)
RR
North Carolina(5/25/2021)
IAR
North Carolina(12/2/2022)
RR
Oregon(4/5/2017)
IAR
Oregon(3/14/2019)
RR
Pennsylvania(5/16/2014)
RR
South Carolina(2/16/2016)
RR
Texas(2/26/2019)
RR
Vermont(2/4/2022)
RR
Virginia(11/23/2012)
RR
Wisconsin(11/23/2012)
IAR
Wisconsin(5/14/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)Kansas
Registered Investment Advisory firm - (1/15/2026 Terminated)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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 (30 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 273,182,000 |
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.
