Lawrence Michael Doody

Current Employers

Uhlmann Investment Management, L.L.C.

5202 Old Orchard Road Suite 250, Skokie, IL 60077 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2019-02-20
CA	RA	APPROVED	2019-02-04
IL	RA	APPROVED	2013-09-09

NV RA
APPROVED

Since 2019-02-20
CA RA
APPROVED

Since 2019-02-04
IL RA
APPROVED

Since 2013-09-09

Branch Locations

Palm Desert, CA • United States

5202 Old Orchard Road Suite 250, Skokie, IL 60077 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Uhlmann Price Securities, Llc	Chicago	IL	09/2013	Present
Uhlmann Investment Management	Chicago	IL	09/2013	Present

09/2013 → Present

Uhlmann Price Securities, Llc

Chicago, IL
09/2013 → Present

Uhlmann Investment Management

Chicago, IL

Previous Registrations

2010-11-09 → 2013-09-30

Kingsbury Capital Investment Advisors Llc

Wilmette, IL
2010-01-21 → 2010-11-05

Brewer Investment Advisors Llc

Chicago, IL
2008-08-18 → 2010-02-17

Howe Barnes Capital Management, Inc.

Chicago, IL
2001-11-16 → 2008-08-15

Great Lakes Advisors, Llc

Chicago, IL

Other Businesses

Uhlmann Investment Management LLC, is Investment Related,303 W Madison Street, Suite 1700, Chicago, IL, 60606, United States, Investment Advisor Services, Advisor,09/09/2013, 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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-01-14
S63	Uniform Securities Agent State Law Examination	1987-02-27

S65 Uniform Investment Adviser Law Examination

1993-01-14
S63 Uniform Securities Agent State Law Examination

1987-02-27

Other Names

Larry Doody

View on SEC IAPD