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JG

Jonathan W. Glossberg

Some features on this profile are disabled
CRD#: 2394474
JG

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.

Jonathan William Glossberg was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1996. Jonathan had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

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®
None

Experience

Past

January 24, 2017 - December 31, 2019

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

RIA
CRD#: 118025
CHICAGO, IL
Past

December 22, 2016 - December 31, 2019

UHLMANN PRICE SECURITIES, LLC

BD
CRD#: 42854
SKOKIE, IL
Past

May 5, 2008 - November 4, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

May 5, 2008 - November 4, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHICAGO, IL
Past

January 17, 2003 - May 27, 2008

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
CHICAGO, IL
Past

January 17, 2003 - May 27, 2008

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
CHICAGO, IL
Past

October 18, 2001 - January 17, 2003

PERSHING LLC

RIA
CRD#: 7560
CHICAGO, IL
Past

March 30, 2001 - September 16, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 27, 1998 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 16, 1996 - August 3, 1998

WILLIAM BLAIR

BD
CRD#: 1252
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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/23/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/25/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/1996
General Securities Representative Examination

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
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KONN_ADV PART 2B (2/3/2026)
ARMOUR_ADV PART 2B (2/3/2026)
BAER_ADV PART 2B (2/3/2026)
DILLON_ADV PART 2B (2/3/2026)
FINKEL_ADV PART2B (2/3/2026)
DOODY_ADV PART 2B (2/3/2026)
THOMAS LANGER (2/3/2026)
GORDON FALLONE (2/3/2026)
WILLIAM LILLWITZ ADV PART 2B (2/3/2026)
HERMANN ADV PART 2B (2/3/2026)
03.30.2023 UHLMANN INVESTMENT MANAGEMENT LLC (2/3/2026)
MAUREEN MACKOWSKI ADV 2B (2/3/2026)
UHLMANN INVESTMENT MANAGEMENT ADV II 11/05/2025 (2/3/2026)
JAMES KOZAK (2/3/2026)

Regulatory assets under management

Total Number of Accounts460
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.

Company Information

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

CRD#: 118025

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