Patrick J. Lauderdale

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CRD#: 2299611

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patrick J Lauderdale, CFP® was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Uhlmann Investment Management LLC, is Investment Related, 303 W Madison Street, Suite 1700, Chicago, IL, 60606, United States, Investment Advisor Services, Advisor, 05/24/2019, 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Past

May 28, 2019 - December 31, 2023

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

RIA

CRD#: 118025

SKOKIE, IL

Past

May 24, 2019 - December 31, 2023

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

SKOKIE, IL

Past

February 10, 2010 - May 31, 2019

WILLIAM BLAIR

RIA

CRD#: 1252

CHICAGO, IL

Past

February 10, 2010 - May 31, 2019

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

June 1, 2009 - February 1, 2010

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

June 1, 2009 - February 1, 2010

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

December 28, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

January 18, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/9/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/11/1993

General Securities Representative Examination

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

Patrick J. Lauderdale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UHLMANN PRICE SECURITIES, LLC

WILLIAM BLAIR

WILLIAM BLAIR

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/1996

Series 63

Date: 1/21/1993

SIE

Date: 10/1/2018

Series 31

Date: 9/9/2002

Series 7

Date: 1/11/1993

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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