AU
Andrew T. Ullmann
ON INVESTMENT MANAGEMENT CO
Shavano Park, TX
Some features on this profile are disabled
CRD#: 1293001
AU
Professional summary
Andrew Thomas Ullmann, who also goes by A Thomas Ullmann, Tom Ullmann, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Shavano Park, Texas and THE O.N. EQUITY SALES COMPANY located in San Antonio, Texas.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A Thomas Ullmann | Tom Ullmann
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.
1)CONCORD FINANCIAL SERVICES; NOT INVESTMENT RELATED; 131 Manchester Way, Shavano Park, TX 78249; OWNER; START DATE 05/1984; LIFE, HEALTH, DISABILITY, LTC, FIXED ANNUITIES, VOLUNTARY EMPLOYEE BENEFITS, GROUP RETIREMENT ANNUITIES, SPIA & AD&D,LECTURER CPA CPE; 100 HOURS PER MONTH(20 HOURS DURING TRADING HOURS).
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Thomas Ullmann'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
June 25, 2007 - Present
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Shavano Park, TX
Current
June 13, 2007 - Present
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SAN ANTONIO, TX
Past
July 13, 2001 - June 25, 2007
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN ANTONIO, TX
Past
June 18, 2001 - June 25, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN ANTONIO, TX
Past
May 3, 1999 - June 28, 2001
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 1, 1992 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 23, 1990 - July 6, 1992
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 21, 1985 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
August 29, 1984 - September 3, 1985
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 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
Arizona(6/13/2007)
IAR
Arizona(6/28/2007)
RR
Texas(6/13/2007)
IAR
Texas(6/25/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/18/1999
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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.
