Michael F. Dunne

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

Skokie, IL 60077

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CRD#: 1676474

Professional summary

Michael Fitzgerald Dunne, who also goes by Michael Dunne, 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 1987. Michael has worked at 11 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Dunne

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.

1) Uhlmann Investment Management LLC, is Investment Related (UIM is owned by UP Securities to serve their advisory clients).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Fitzgerald Dunne'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

March 8, 2022 - Present

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

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

RIA

CRD#: 118025

Skokie, IL

Current

January 20, 2021 - Present

UHLMANN PRICE SECURITIES, LLC

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

CRD#: 42854

Skokie, IL

Past

July 5, 2013 - December 31, 2021

AVELLINO FINANCIAL ADVISORS, INC.

RIA

CRD#: 164805

HILLSIDE, IL

Past

March 28, 2012 - March 10, 2020

FOREST SECURITIES,INC.

CRD#: 16255

Hillside, IL

Past

January 13, 2012 - April 16, 2012

BIRKELBACH INVESTMENT SECURITIES, INC.

CRD#: 11490

CHICAGO, IL

Past

May 19, 2008 - December 23, 2011

HILLTOP SECURITIES INC.

CRD#: 6220

CHICAGO, IL

Past

October 18, 2006 - April 23, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 9, 2004 - February 28, 2005

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

December 18, 2002 - October 29, 2004

PREFERREDTRADE, INC.

CRD#: 10993

SAN FRANCISCO, CA

Past

January 22, 2001 - October 16, 2002

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

June 24, 1987 - December 15, 2000

MESIROW FINANCIAL, INC.

CRD#: 2764

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".

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

Illinois
(3/18/2021)

IAR

Illinois
(3/8/2022)

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 66

Date: 9/28/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/28/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2012

General Securities Principal 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)

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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

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.

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Firm Stability Insights

Michael F. Dunne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Fitzgerald Dunne's CRS (Customer Relationship Summary).

Certified licenses

Experience

UHLMANN PRICE SECURITIES, LLC

AVELLINO FINANCIAL ADVISORS, INC.

FOREST SECURITIES,INC.

BIRKELBACH INVESTMENT SECURITIES, INC.

HILLTOP SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRADITION SECURITIES AND DERIVATIVES LLC

PREFERREDTRADE, INC.

KNIGHT CAPITAL AMERICAS, L.P.

MESIROW FINANCIAL, INC.

Primary Firm SEC Registration

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2012

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/28/2001

Series 7

Date: 6/20/1987

Series 24

Date: 3/20/2012

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

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