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Denise Poling
Chief Compliance Officer at Uhlmann Price Securities,
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Work Experience
Dec 2007 - Present · 17 years
Chief Compliance Officer
Apr 2016 - Present · 8 years and 8 months
Senior Registered Sales Assistant
Dec 2007 - Apr 2016 · 8 years and 4 months
Compliance Supervisor And Office Manager
Dec 2003 - Dec 2007 · 4 years
Company Details
Headquartered in Chicago, Uhlmann Price Securities is a full service, privately owned brokerage firm. Our elite team of financial consultants design and maintain broadly diversified portfolios for high net-worth individuals and institutions utilizing traditional and alternative investments. We are proud of our position as an independent FINRA member firm. The firm has over 100 years of combined experience in portfolio management. Through our unique expertise, where appropriate, we may select investments whose performance traditionally has had low correlation with stocks and bonds. Blended with traditional portfolios, this can enhance overall portfolio returns while simultaneously reducing volatility. We are an employee-owned, private company funded with our own capital. We are focused on creating solid, long-term growth for our clients and have no incentives to maximize short-term profits. With our own money on the line, we constantly strive to act in the most financially prudent way. Our firm has no debt, uses no leverage and conducts no proprietary trading. Our clients’ success ensures our success. Our Corporate Pledge: Out clients' trust and interest will always come first. Ethical conduct and integrity will not be compromised.
Year Founded
1997
Social Media
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Industry
Financial Services
HQ Location
200 South Wacker Drive Suite 2650 Chicago, Illinois 60606, US
Keywords
Traditional and Alternative InvestmentsDiversified Portfolio ManagementFee-based & Commission-based AccountsRetirement PlanningAsset AllocatioEstate PlanningCommodity Index and Managed Futures Limited PartnershipsMembers FINRASIPCNFA
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