JB
James D. Baer
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
CHICAGO, IL 60604
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CRD#: 9936
JB
Professional summary
James Dana Baer is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Chicago, Illinois and UHLMANN PRICE SECURITIES, LLC located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 24, Series 4 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Finra, 55 W Monroe St, Chicago, IL As of 4/07/2016, Finra Arbitrator; Uhlmann Investment Management,Is Investment Related,"Investment Advisor Services, 303 W. Madison - Suite 1700, Chicago, IL, 60606, United States",SEC Registered Investment Advisor,President,1/4/2001,6 hours per month,1 hours per month during trading hours,Fee Based Compensation,Both as an advisor with dealing with clients and their investments and as President of the firm. It is a single member LLC owned by Uhlmann Price Securities of which I am also the owner and President
CRS (Client Relationship Summary) - RIA
Click below to view James Dana Baer's 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®
NoneExperience
Current
September 18, 2001 - Present
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Office #1: 141 W. Jackson Blvd. Suite 1340a, Chicago, IL 60604RIA
CRD#: 118025
CHICAGO, IL
Current
January 3, 2001 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 200 S. Wacker Suite 2650, Chicago, IL 60606Office #2: 5202 Old Orchard Road Suite 250, Skokie, IL 60077Office #3: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Chicago, IL
Past
December 19, 2013 - March 30, 2015
MONERE INVESTMENTS, INC.
BD
CRD#: 105487
SCHAUMBURG, IL
Past
March 6, 2007 - October 17, 2017
JAVCAP SECURITIES LLC
BD
CRD#: 142174
CHICAGO, IL
Past
June 28, 1995 - March 29, 1996
SWISS FINANCIAL SECURITIES, INC.
BD
CRD#: 27423
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)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(5/25/2005)
RR
Alaska(5/25/2005)
RR
Arizona(5/29/2003)
RR
Arkansas(2/7/2005)
RR
California(6/6/2002)
IAR
California(6/27/2025)
RR
Colorado(6/3/2004)
RR
Connecticut(5/25/2005)
RR
Delaware(5/25/2005)
RR
District of Columbia(5/25/2005)
RR
Florida(3/16/2001)
IAR
Florida(6/26/2018)
RR
Georgia(1/27/2004)
RR
Hawaii(5/25/2005)
RR
Idaho(5/25/2005)
RR
Illinois(1/17/2001)
IAR
Illinois(9/18/2001)
RR
Indiana(4/26/2002)
RR
Iowa(5/25/2005)
RR
Kansas(4/27/2005)
RR
Kentucky(5/25/2005)
RR
Louisiana(5/20/2005)
RR
Maine(5/25/2005)
RR
Maryland(3/15/2005)
RR
Massachusetts(3/26/2003)
RR
Michigan(5/25/2005)
RR
Minnesota(5/25/2005)
RR
Mississippi(11/3/2003)
RR
Missouri(5/29/2003)
IAR
Missouri(10/21/2021)
RR
Montana(1/20/2005)
RR
Nebraska(3/9/2005)
RR
Nevada(4/7/2005)
RR
New Hampshire(3/9/2005)
RR
New Jersey(3/14/2005)
RR
New Mexico(5/7/2002)
RR
New York(10/21/2004)
IAR
New York(10/21/2021)
RR
North Carolina(7/30/2001)
RR
North Dakota(5/25/2005)
RR
Ohio(4/3/2003)
RR
Oklahoma(5/25/2005)
RR
Oregon(2/6/2004)
RR
Pennsylvania(5/25/2005)
RR
Rhode Island(3/29/2004)
RR
South Carolina(10/29/2003)
RR
South Dakota(7/19/2004)
RR
Tennessee(5/25/2005)
RR
Texas(6/17/2003)
RR
Utah(5/25/2005)
RR
Vermont(5/25/2005)
RR
Virginia(2/18/2005)
RR
Washington(7/15/2004)
RR
West Virginia(5/25/2005)
RR
Wisconsin(7/19/2004)
RR
Wyoming(5/25/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)Upgrade to AdvisorCheck Premium
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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
11
SEC notice filing (24 States and Territories)
Documents
Part 2 Brochures
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.
