Our People

Uhlmann Price Securities’ management has over 100 years of combined experience in asset management, portfolio consulting, equities and fixed-income products, alternative investments, trading, and financial firm management.

Founders

Frederick G. Uhlmann
Founder | Senior Portfolio Manager

Mr. Uhlmann is the founding partner of Uhlmann Price Securities, LLC, a FINRA registered Broker-Dealer and Uhlmann Investment Management a registered investment advisory firm.  A graduate of Washington and Lee University, he has nearly six decades of financial industry experience.  Mr. Uhlmann has held numerous industry positions including Chairman of the Chicago Board of Trade, Vice Chairman of the National Futures Association, Chairman of the Futures Industry Association, board member of the Futures Industry Institute, and founding board member of the Chicago Board of Options Exchange.  In 2005, in recognition of his outstanding contribution to the futures and options community, he was selected as an inaugural member of the Futures Industry Hall of Fame.

Walter Thomas Price, III
Co-Chairman of Price Holdings, Inc.

Mr. Price is the Co-Chairman of Price Holdings, Inc.  an employee owned diversified financial services firm.  Included within the holding company are Uhlmann Price Securities and The Price Futures Group.   In 1988, Tom established The Price Futures Group, a commodity introducing brokerage firm, and Price Asset Management, a commodity pool operator and commodity trading advisor.   He has been involved in the securities and cash and futures commodities markets for over 40 years as a trader and broker.  Tom is a graduate of the University of Texas and a licensed FINRA and NFA principal.

Executive Management

James D. Baer
President

Jim is the president of Uhlmann Price Securities, a FINRA registered Broker-Dealer. He joined the firm in 2001.  He also serves as the president of Uhlmann Investment Management, LLC a registered investment advisory firm and Price Holdings, LLC the parent company of each.  Additionally he is a member of the Price Holdings Board of Directors.  Jim has been in the securities and futures industry since 1970, first as a securities broker and branch manager with Merrill Lynch and then as an independent floor trader at the Chicago Board of Trade. He is an arbitrator with FINRA and has served as an arbitrator with the NASD, NFA and Chicago Board of Trade and has been retained as an industry authority and expert witness in arbitrations before FINRA. He holds Series 3, 4, 7, 24, 53 and 66 licenses with FINRA.  He graduated from Cornell University in 1965 with a degree in civil engineering.

Maura Clark
Chief Financial Officer

Maura Clark, a graduate of the University of Illinois at Chicago, began her career providing tax and accounting services at the firm of Laventhol and Horwath. Upon leaving public accounting, she functioned as an independent consultant offering accounting and tax services to small and midsized businesses and their owners.

In the spring of 2012, Maura joined the Price Holdings group of companies and now serves as the Chief Financial Officer for Price Holdings, Price Asset Management, The PRICE Futures Group, and Uhlmann Price Securities.

Alan Konn
Executive VP | Managing Director

Mr. Konn was born in 1959. He has a BA in Psychology from Hamline University, St. Paul MN and a MBA in Finance and Accounting from UCLA. He is a senior Portfolio Manager of Uhlmann Price Securities, LLC and Uhlmann Investment Management. In 2006 Alan spearheaded the use of the Rogers International Commodity Index® methodology for use in various investment vehicles by the firm’s then affiliated Price Asset Management LLC (“PAM”). Alan became a direct owner of PAM through a management led buyout in late 2015.

Alan has spent his entire business career in the financial services industry. He joined Uhlmann Price Securities in early 2003 after spending 17 years as an investment executive with William Blair & Co. where he worked as a portfolio manager helping individuals manage and allocate their financial assets. Prior to that he worked in the corporate finance department at the First National Bank of Chicago for 2 years. Alan holds his Series 3, 7, 24,31,63 and 65 licenses and is an NFA principal.

At Uhlmann Price Securities our employees are our most important asset. We are proud of their accomplishments and even more so, proud of their strong dedication and loyalty to our clients. This unique, customer-focused attitude is something you will come to expect from our team.

Institutional Team

Alan Konn
Executive VP | Managing Director

Mr. Konn was born in 1959. He has a BA in Psychology from Hamline University, St. Paul MN and a MBA in Finance and Accounting from UCLA. He is a senior Portfolio Manager of Uhlmann Price Securities, LLC and Uhlmann Investment Management. In 2006 Alan spearheaded the use of the Rogers International Commodity Index® methodology for use in various investment vehicles by the firm’s then affiliated Price Asset Management LLC (“PAM”). Alan became a direct owner of PAM through a management led buyout in late 2015.

Alan has spent his entire business career in the financial services industry. He joined Uhlmann Price Securities in early 2003 after spending 17 years as an investment executive with William Blair & Co. where he worked as a portfolio manager helping individuals manage and allocate their financial assets. Prior to that he worked in the corporate finance department at the First National Bank of Chicago for 2 years. Alan holds his Series 3, 7, 24,31,63 and 65 licenses and is an NFA principal.

Jerry McEntee
Senior Director | Institutional Sales

Jerry McEntee joined Uhlmann Price Securities, LLC in 2004 as an institutional salesman to help build the UP Institutional Services Group. Prior to joining Uhlmann Price, Jerry had spent six years working in sales for technology start ups. His last position was as Regional Sales Director with Xpherix Corporation, a wireless software startup based in Palo Alto servicing the telecom space. Prior to that, Jerry spent seven years as the Regional Director for the Mid-West for Healthcare Services Group, a publically traded company servicing the long term care industry.

Jerry graduated from Kenyon College in Ohio and lives with his wife and their two children in the Lakeview neighborhood of Chicago. His hobbies include running marathons and going to baseball games at Wrigley Field.

Ruth Mignerey
Director | Institutional Sales

Ruth Mignerey joined the Uhlmann Price Institutional Service Group in 2007. Ruth has 12 years experience marketing non-traditional asset classes. Prior to joining the Uhlmann Price Institutional Sales Group, she was an Alternative Investment Specialist for Everest Asset Management (“EAM”), responsible for sales and marketing of Alternative Investments for the East Coast Region of the United States. Prior to joining EAM, Ms. Mignerey held the position of Associate Vice President of Alternative Investments at Wachovia Securities. The firm was, if not the leader, among the leaders in assets under management throughout the industry.

Ruth earned a BS in Environmental Science from SUNY at Syracuse University. Ruth resides in Charlotte, NC.

Denise Poling
Senior Registered Sales Assistant

Denise Poling joined Uhlmann Price Securities in 2007 as a Senior Registered Sales Assistant working directly for Alan Konn. Involved in the securities and futures industry for over 20 years, Denise has experience with client, marketing and sales support as well as compliance and industry regulations.

Prior to joining Uhlmann Price, Denise was Compliance Supervisor and Office Manager at A.G. Edwards & Sons, Inc. following several years as Office Supervisor for Morgan Stanley. In both positions she was responsible for regulatory and compliance issues, back office procedures, broker support and day to day office management.

Earlier in her career Denise served as Compliance Manager for Sjo, Inc., a Chicago-based CTA where her responsibilities included fund audits, updating and filing disclosure documents and risk management.

Denise holds Series 7, 9, 10 and 66 with FINRA.

Lydia Brown
Associate Institutional Sales

Lydia joined Uhlmann Price Securities, LLC in 2014 as a member of the Institutional Sales Team. Prior to joining the firm she spent two years working in Private Wealth at Citigroup with a team who specialized in alternative investments including IPO syndicate distribution.

A graduate from the University of Illinois at Chicago, Lydia currently lives in Lakeview. Her hobbies include running, reading and traveling.

Lydia holds a Series 7 and 66 with FINRA.

Compliance & Operations

John Dillon
Registered Sales Assistant

John Dillon graduated from Southern Illinois University-Carbondale with a Bachelor of Science degree in Radio – Television.  He joined Uhlmann Price in December of 2012 and serves as sales assistant, primarily for our Skokie Branch.  John is a registered financial associate and holds Series 7 and 66 licenses.  John’s hobbies include bike riding and participating in community activities in his Chicago neighborhood of Ravenswood.

Deb Groah
Client Services

Deb joined Uhlmann Price Securities in 2013 as a Client Services Representative. Deb has been involved in the securities industry for over 20 years and has extensive experience in customer service and operations. Her career started at Louis Dreyfus Corporation where she stayed for 18 years serving in back office operations. Deb went on to serve as Trust Operations Administrator with Palos Bank and Trust, and Operations Associate with Advanced Equities Inc.

Deb holds a Series 99 with FINRA.

Financial Consultants: Chicago, IL

V. Kelley Armour

Kelley Armour joined Uhlmann Price Securities in 2007 as a Senior Financial Consultant and has over 32 years in the industry.  Prior to joining Uhlmann Price Securities, Kelley worked with William Blair and Company as well as the Chicago Board of Options Exchange.  Kelley is a graduate of Menlo College and he holds Series 7, 65, 63, and 31 licenses.

Joseph Crumley

Joe Crumley has been with Uhlmann Price Securities as a financial advisor since 2006.  He is a graduate of Wharton Business School and brings 27 years of expertise to Uhlmann Price.  Joe previously worked as a financial advisor at Lehman Brothers, William Blair and AG Edwards before joining our firm. Joe is a very happy and outgoing individual and enjoys spending time with his dog.

Larry Doody

Larry has been in the Investment Advisory business since 1987 serving high net worth individuals, institutions (corporations) and municipalities.  He has successfully assisted high net worth clients develop financial plans and asset allocation strategies to meet their financial goals; companies raise capital and maximize benefit & retirement plans for both owners and employees.

Working with public pension plans Larry assisted in crafting IPS and Asset Allocation strategies consistent with state statutes and client’s goals and objectives.  As a member of the Illinois Public Pension Fund Association he attained the designation of Certified Pension Fund Trustee.

Larry has served as a member of the Chicagoland Chamber of Commerce Government Affairs committee, a Commissioner of the Illinois Medical District Commission and was a candidate for City of Chicago Alderman in 2007.  He resides in Chicago’s West Loop with his wife, Connie, and his son Riley where he has been an active member of the community.

Larry holds a Finance Degree from Arizona State University and Securities licenses including the Series 7, 63 & 65 as well as his State of Illinois Insurance licenses for Life, Health & Disability.  He also has several other outside business interests, including an interest in a successful specialty finance company focused on energy efficiency & renewable energy where he was an early stage investor and helped to launch the company.

John Fichera

John has been in the investment industry since 1994 when he traded commodity futures as a member of the Chicago Mercantile Exchange.  In 2000 he left the trading floor to form the financial advisory practice of Fichera and Associates, a member of American Express Financial Advisors earning the title of Senior Financial Advisor.  In 2008  John left Ameriprise to form an independent financial services practice.  John concentrates his efforts to wealth management for high net-worth individuals, trusts, foundations and institutional clients.  He has extensive experience with alternative investments (futures, private equity, foreign currencies, Venture Capital). He holds series 7 and  66 licenses as well as life, accident and health insurance licenses.  He is a graduate of Drake University.

John Hoidas

John began his career at the Chicago Mercantile Exchange in 1989, working his way up from runner to trading for his own account in the S&P 500 pit. After spending 9 years trading the S&P and GSCI, Mr. Hoidas shifted his expertise to the client/advisory side of the business where he currently manages individual, foundation and 401K plan assets with a special emphasis on alternative investments. John holds Series 7 and 66 licenses as well as Life, Accident and Health Insurance. John attended the University of Illinois at Chicago.

Susanna Jung

Susanna Jung joined Uhlmann Price Securities in July 2006 as a Registered Representative.  Sue has 17 years of industry experience and holds Series 7, 63, and 3 licenses.  Sue worked as the Chief Operating Officer of Price Futures Group from 2008-2013 in which time her role then transcended into the Chief Executive Officer of The Price Futures Group in March 2013.  Sue spends most of her free time with her fiancé and their two daughters.

Matthew Lusardi
Fixed Income Advisory & Sales

Prior to Uhlmann Price, Matt was employed in fixed income sales at KGS-Alpha Capital Markets, was a V.P. in Fixed Income Sales at J.P. Morgan, Mizuho Securities USA, and Merrill Lynch.

He has worked across multiple product lines within taxable and tax-exempt fixed income. He is now bringing his trading relationships and bond knowledge to the retail investor base with a focus on providing:

  • Institutional Access
  • Institutional Pricing
  • Personal Advisory

Marie McJilton

Marie Costa McJilton was one of the founding members of Uhlmann Investments, LLC in 1997, now Uhlmann Price Securities, LLC, where she is currently a principal of the firm.  Marie served in the past as the Compliance and AML Director of the company as well as the Deerfield Branch Office Manager.  Presently, she is a Senior Vice President with The Price Futures Group.  Marie holds Series 3, 7, 24 and 63 licenses.  Marie graduated in 1980 from Southern Illinois University.

George Rohrs

George H. Rohrs is a Senior Investment Executive at Uhlmann Price Securities.  He has been in the financial industry for over 30 years and holds Series 3, 4, 7, 24 and 63 licenses.  Mr. Rohrs is a graduate of Manhattan College and served as a 2nd Lieutenant in the Army National Guard.  Prior to joining Uhlmann Price Securities, he was the Vice President for the 11th largest Futures Commission Merchant (FCM), where he was responsible for developing futures clearing business among U.S. brokerage firms and also for the Asia/Pacific region.

Nell Sloane

Nell Sloane joined Uhlmann Price Securities in October, 2011 as an Investment Executive. Nell was previously an Executive Member of the Chicago Finance Committee. Ms. Sloane, presently is a member of the Vistage International, which is the world’s leading chief executive organization. Vistage is located in 15 countries and over 14,500 members helping business owners make better decisions and becoming better leaders in their communities. Ms. Sloane holds Series 3, 7 and 63 licenses.

She is an active participant in raising money for charities such as American Cancer Society and Mercy Home for Boys and Girls. She’s a proud mother of a marine and a son who is a sophomore at Michigan State University.

Dan Wachs

Daniel Wachs, a graduate of the University of Wisconsin, joined Uhlmann Price in November of 2006.  Dan currently works with Uhlmann Price as an Investment Advisory Representative.  With over 17 years in the industry, Dan has previously worked with American General Securities, Franklin Financial and currently works with Atrium Insurance Brokerage Services.  He holds Series 3, 6, 7, 63, and 65 licenses.  Dan enjoys tennis, golf and spending time with his wife and children.

Financial Consultants: Skokie, IL

Michael Dillon

Michael Dillon joined Uhlmann Price Securities in December 2011 and now serves as a Senior Vice President and the Branch Manager of our Skokie office.  Michael has been in the industry for 25 years and previously worked as a Financial Advisor for Wells Fargo and AG Edwards prior to joining our firm.  Mr. Dillon holds Series 6, 7, 63 and 65 licenses as well as Life, Health, Property and Casualty Insurance Licenses.

Michael is and avid golfer and sports fan. He and his wife have 7 children and reside in Glenview, Illinois.

Terry Finkel

Terry Finkel has been in the financial industry for 27 years and joined Uhlmann Price Securities in November of 2012 as a Senior Vice President.  He is a graduate of Arizona State University and holds Series 7 License as well as Life, Accident and Health Insurance licenses.

Rob Bearman

Rob Bearman joined Uhlmann Price in November 2014 as a financial advisor specializing in option strategies, fixed income, and balanced portfolio construction. He has served clients in many types of market environments for 37 years. His previous associations include 19 years with Goldman Sachs where he led sales groups that worked with the firms institutional clients. He holds series 3,5,7,8, and 63 licenses.

Byron Brook

Byron Brook joined Uhlmann Price Securities in August 2012 as a Senior Vice President.  Previously, he was a financial advisor with AG Edwards for 31 years.  Byron graduated from the University of Illinois with a Bachelor of Arts in Finance and Marketing.  He then went on to receive an MBA from the University of Chicago and a Doctorate of Jurist Prudence from DePaul University.  Byron holds a series 7 license.

Richard Lindar

Richard has been in the securities industry since 1983, when he started as a market maker on the CBOE. He became a partner in a subclearing firm, training and providing financial backing, as well as risk management, for quite a few traders. He taught advance option theory at the International Options Institute as well. Prior to trading, he got his MD at Loyola-Stritch Medical School, and was a resident MD at University of Illinois Hospital and Evanston-Northwestern Hospital. He left trading to start a wellness practice in 1996, and returned to the CBOE in 1999. Rick moved to Tucson in 2006, and started as a financial advisor with Morgan Stanley in 2012, after starting his own business earlier. He moved to Uhlmann Price in September of 2016, after moving back to the Chicago area.  His strength is personalizing clients’ investment pictures to their own unique needs. He holds Series 7 and 66 licenses as well as life, accident and health insurance licenses.