MH
Michael D. Herrmann
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Skokie, IL 60077
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CRD#: 1567267
MH
Professional summary
Michael David Herrmann, who also goes by Mike Herrmann, 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.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Herrmann
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.
Uhlmann Investment Management LLC, is Investment Related, 303 W Madison Street, Suite 1700, Chicago, IL, 60606, United States, Investment Advisor Services, Advisor, 07/02/2020, 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 Michael David Herrmann'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
July 2, 2020 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077RIA
CRD#: 118025
Skokie, IL
Current
July 2, 2020 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Skokie, IL
Past
January 1, 2008 - July 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LAKE FOREST, IL
Past
January 1, 2008 - July 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LAKE FOREST, IL
Past
December 21, 2000 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SKOKIE, IL
Past
January 14, 1991 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SKOKIE, IL
Past
May 22, 1987 - January 11, 1991
PARKER/HUNTER INCORPORATED
BD
CRD#: 7324
PITTSBURGH, PA
Past
March 26, 1987 - May 20, 1987
BEACONSFIELD FINANCIAL SERVICES, INC.
BD
CRD#: 14634
Past
October 20, 1986 - May 5, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
Arizona(5/7/2021)
IAR
California(7/2/2020)
RR
California(3/12/2024)
RR
Colorado(4/24/2024)
IAR
Colorado(4/25/2024)
RR
Florida(7/2/2020)
RR
Georgia(7/2/2020)
IAR
Georgia(11/12/2020)
RR
Illinois(7/2/2020)
IAR
Illinois(7/2/2020)
RR
Indiana(7/2/2020)
IAR
Indiana(7/30/2020)
RR
Oregon(7/2/2020)
RR
Pennsylvania(7/2/2020)
IAR
Pennsylvania(7/6/2020)
RR
Tennessee(7/2/2020)
RR
Texas(8/13/2021)
RR
Wisconsin(7/2/2020)
IAR
Wisconsin(7/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)Upgrade to AdvisorCheck Premium
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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.
