Lawrence M. Doody

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

Skokie, IL 60077

Some features on this profile are disabled

CRD#: 1634742

Professional summary

Lawrence Michael Doody, who also goes by Larry Doody, 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.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Lawrence has worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Doody

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,09/09/2013, 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Michael Doody's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 9, 2013 - Present

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077

RIA

CRD#: 118025

Skokie, IL

Current

September 9, 2013 - Present

UHLMANN PRICE SECURITIES, LLC

Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077

CRD#: 42854

Skokie, IL

Past

June 18, 2013 - September 10, 2013

FREEDOM INVESTORS CORP.

CRD#: 23714

BROOKFIELD, WI

Past

November 10, 2010 - June 22, 2011

KINGSBURY, LLC

CRD#: 147102

EVANSTON, IL

Past

November 9, 2010 - September 30, 2013

KINGSBURY CAPITAL INVESTMENT ADVISORS LLC

RIA

CRD#: 145658

EVANSTON, IL

Past

November 8, 2010 - May 10, 2011

AUGMENT SECURITIES INC.

CRD#: 28373

EVANSTON, IL

Past

January 21, 2010 - November 5, 2010

BREWER INVESTMENT ADVISORS LLC

RIA

CRD#: 134631

CHICAGO, IL

Past

January 21, 2010 - November 5, 2010

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

CHICAGO, IL

Past

August 18, 2008 - February 17, 2010

HOWE BARNES CAPITAL MANAGEMENT, INC.

RIA

CRD#: 110715

CHICAGO, IL

Past

August 15, 2008 - February 17, 2010

HOWE BARNES HOEFER & ARNETT, INC.

CRD#: 2240

CHICAGO, IL

Past

November 16, 2001 - August 15, 2008

GREAT LAKES ADVISORS, LLC

RIA

CRD#: 110757

CHICAGO, IL

Past

June 1, 2001 - August 15, 2008

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

May 13, 1997 - June 15, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 12, 1994 - June 12, 1997

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

March 19, 1992 - September 16, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 22, 1990 - March 12, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

August 22, 1990 - March 12, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 26, 1989 - August 16, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 26, 1989 - August 16, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 6, 1989 - August 16, 1989

CENTURY FINANCIAL SECURITIES, INC.

CRD#: 15280

Past

November 19, 1987 - May 18, 1988

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

July 7, 1987 - December 1, 1987

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

February 26, 1987 - June 22, 1987

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(9/9/2013)

IAR

California
(2/4/2019)

Florida
(1/17/2014)

Hawaii
(1/13/2018)

Illinois
(9/9/2013)

IAR

Illinois
(9/9/2013)

Indiana
(7/27/2023)

Missouri
(7/31/2023)

Nevada
(9/3/2014)

IAR

Nevada
(2/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/25/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UHLMANN INVESTMENT MANAGEMENT ADV II 11/05/2025 (11/5/2025)

MAUREEN MACKOWSKI ADV 2B (10/16/2025)

BAER_ADV PART 2B (3/24/2025)

DILLON_ADV PART 2B (3/24/2025)

FINKEL_ADV PART2B (3/24/2025)

DOODY_ADV PART 2B (3/24/2025)

GORDON FALLONE (3/24/2025)

WILLIAM LILLWITZ ADV PART 2B (3/24/2025)

HERMANN ADV PART 2B (3/24/2025)

03.30.2023 UHLMANN INVESTMENT MANAGEMENT LLC (3/24/2025)

ARMOUR_ADV PART 2B (3/24/2025)

KONN_ADV PART 2B (3/24/2025)

JAMES KOZAK (3/24/2025)

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawrence M. Doody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Michael Doody's CRS (Customer Relationship Summary).

Certified licenses

Experience

UHLMANN PRICE SECURITIES, LLC

FREEDOM INVESTORS CORP.

KINGSBURY, LLC

KINGSBURY CAPITAL INVESTMENT ADVISORS LLC

AUGMENT SECURITIES INC.

BREWER INVESTMENT ADVISORS LLC

BREWER FINANCIAL SERVICES, LLC

HOWE BARNES CAPITAL MANAGEMENT, INC.

HOWE BARNES HOEFER & ARNETT, INC.

GREAT LAKES ADVISORS, LLC

WINTRUST INVESTMENTS LLC

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

PRUDENTIAL EQUITY GROUP, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CENTURY FINANCIAL SECURITIES, INC.

BOETTCHER & COMPANY, INC.

PRUCO SECURITIES, LLC.

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/1993

Series 63

Date: 2/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 6

Date: 2/25/1987

FINRA

Current Firm

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

TRUST BUT VERIFY

Contact information

Similar Advisors