Frederick G. Uhlmann

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CRD#: 451370

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.

Frederick Godfrey Uhlmann, who also goes by Frederick G Uhlmann, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1965. Frederick had worked at 8 firms and has passed the Series 63 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frederick G Uhlmann

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

November 4, 1998 - May 10, 2017

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

RIA

CRD#: 118025

CHICAGO, IL

Past

July 29, 1997 - December 31, 2017

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

DEERFIELD, IL

Past

June 13, 1995 - August 7, 1998

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

August 22, 1988 - May 24, 1995

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

August 8, 1985 - August 16, 1988

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

March 16, 1984 - July 31, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 28, 1973 - March 7, 1984

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

September 29, 1965 - August 18, 1973

H. HENTZ & CO., INC.

CRD#: 376

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

Series 63

Date: 12/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials 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

Frederick G. Uhlmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UHLMANN PRICE SECURITIES, LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

RODMAN & RENSHAW INC.

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY DW INC.

DREXEL BURNHAM LAMBERT INCORPORATED

H. HENTZ & CO., INC.

Primary Firm SEC Registration

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1991

SIE

Date: 12/31/2017

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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