Our People

Leadership Rooted in Experience

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.

Founder | (Retired)

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.

Co-Chairman of Price Holdings, Inc. (Retired)

Mr. Price is the Co-Chairman of Price Holdings, Inc.  an employee owned diversified financial services firm.     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.

Jim is a Managing Member and 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 SEC registered
Investment advisory firm. Jim has been in the securities and futures industry since 1969, first as a securities broker
ant 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. He has
been retained as an industry authority and expert witness in arbitrations before FINRA.

Jim holds Series 3, 4, 7, 24, 27, 53 and 66 licenses with FINRA and is a licensed insurance agent. He has a degree in civil
Cornell University.

Alan Konn

Managing Member

Alan Konn is a Managing Member of Uhlmann Price Securities LLC, a FINRA-registered Broker-Dealer and of Uhlmann Investment Management, LLC, a SEC-registered investment advisory firm where he is the senior portfolio manager. He joined the firm in 2003 after 17 years as an investment executive at William Blair, where he focused on portfolio management and asset allocation. Prior to that he worked in the corporate finance department at the First National Bank of Chicago for 2 years. In 2006, he led the introduction of the Rogers International Commodity Index® methodology for the firm’s institutional strategies. His expertise spans portfolio management, asset allocation, and alternative investments, including private equity, venture capital, hedge funds, and managed futures.

Alan holds Series 3, 7, 24, 31, 63, and 65 licenses. He has a BA in Psychology from Hamline University, St. Paul MN and an MBA in Finance and Accounting from UCLA.

Alan is driven by a commitment to the analysis required to make the investment decisions that drive the success of both retail and institutional portfolios. He is passionate about helping clients structure their financial wellbeing, allowing them to focus on what matters most in their lives. Outside of work, he is an avid baseball and hockey fan, holding long-term season tickets to the Chicago White Sox and Blackhawks, and enjoys attending live theater performances of all kinds.

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 Uhlmann Price Securities, LLC  as the Chief Financial Officer.

Chief Operating Officer/Chief Compliance Officer

Cindy Kelly joined Uhlmann Price Securities in 2004 as a registered sales associate. She was appointed to her current role as Chief Operating Officer in 2015 and Chief Compliance Officer in 2023. Cindy began her career in the securities industry in 1996, working on the Chicago Board Options Exchange with SG Cowen Securities and National Financial Services. She holds Series 7, 24 and 63 licenses with FINRA.

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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.

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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.

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.

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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.

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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 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.

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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.

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Michael Herrmann joined Uhlmann Price Securities in July 2020  as  Senior Vice President, Investments.

Mike started his career at AG Edwards in 1991 and through mergers has spent the last 12 years at Wells Fargo.  To enhance his professionalism and service to his clients, he obtained designations as an Accredited Asset Management Specialist (AAMS); Chartered Retirement Specialist (CRPS) and Qualified Plan Financial Consultant (QPFC).  His expertise and focus is on 401k plans.

Mike and his wife, Laurie, live with their family in Glenview.  Mike has done several Ironman’s in Utah, Wisconsin, Arizona amongst others.  In his spare time, he  enjoys biking and swimming.

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Richard Henderson

James Kozak

Gordon Fallone

Michael Dunne

Director of Buisness Development

Michael Dunne brings over four decades of experience in the financial services industry to his role as Director of Business Development at Uhlmann Price Securities LLC. Throughout his career, he has held a wide range of positions, including Margin Clerk, roles in Clearing and Execution, Institutional Sales, Customer Service, and running his own RIA/BD firm. His diverse background gives him a comprehensive understanding of both client-facing and operational aspects of the business.

Michael holds the Series 7, 25, and 66 licenses and specializes in B2B sales, operations, customer service, and compliance. His passion for numbers and genuine interest in helping clients work toward their financial goals have been the driving forces behind his long and successful career.

William Lillwitz

Bill joined Uhlmann Price Securities, LLC in January 2021 as Senior Vice President. Bill has over 35 years of experience in the financial services industry; beginning his career in 1982 after visiting the Chicago Board Options Exchange. Bill in a Certified Financial Planner (CFP) and holds a Bachelor of Science in Accounting from Quincy University. He is currently holds the FINRA Series 3,7,34,63 and 66 and is a FINRA and CFTC Arbitrator.

Bill is an avid Chicago sports fan and enjoys swimming, golf and tennis.

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Owen Foley

Compliance & Administrative Assistant

Owen is a Compliance and Administrative Assistant at Uhlmann Price Securities LLC, where he supports the firm’s regulatory processes and helps maintain internal policies and procedures. He joined the team full-time after completing a summer internship with the firm.

He earned his bachelor’s degree in Entrepreneurship and Innovation from Butler University in 2024. With experience in both compliance and marketing, Owen brings strong communication skills and a keen eye for regulatory detail.

Outside of work, he enjoys playing pickleball, cooking, attending music festivals, traveling, and exploring restaurants around downtown Chicago.

Matt Barbera

Senior Vice President

Matt is a Senior Vice President in the 401(k) division, based in our Skokie, Illinois office, with more than 25 years of experience in the retirement plan industry. He focuses on retirement plan design and consulting, investment analysis, portfolio construction, vendor evaluation, and employee education to help organizations build strong retirement programs.

Prior to joining the firm, Matt spent 10 years at OneDigital Retirement (Veritas Retirement Consultants), eight years at Arthur J. Gallagher (Gardner & White), and six years at TIAA-CREF as an Institutional Consultant. He holds a Series 66 license and has earned the AIF® and CPFA® designations.

Matt is passionate about helping people feel confident about their financial future and enjoys working with plan sponsors to create retirement benefits that support their employees. He works directly with our Wealth Management division in coordinating retirement strategies that incorporate all of an employee’s resources Outside of work, he spent over 15 years running a comedy club in Chicago, where he helped nurture young comedians and build a creative community.

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