TB
Todd A. Brost
JOHN G. ULLMAN & ASSOCIATES,
Charlotte, NC 28209
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CRD#: 5206988
TB
Professional summary
Todd A Brost is a registered financial advisor currently at JOHN G. ULLMAN & ASSOCIATES, INC located in Charlotte, North Carolina.
Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Todd has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Todd A Brost'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
August 5, 2021 - Present
JOHN G. ULLMAN & ASSOCIATES, INC
Office #1: 5955 Carnegie Blvd Suite 100, Charlotte, NC 28209RIA
CRD#: 105361
Charlotte, NC
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".
JG
JOHN G. ULLMAN & ASSOCIATES, INC
JOHN G. ULLMAN & ASSOCIATES, INC | ULLMAN JOHN & ASSOCIATES INC
CRD#: 105361 / SEC#: 801-14064
RIA
Registered Investment Advisory firm - (9/20/1978 Approved)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.Highlighted states indicate IAR registrations
IAR
New York(8/5/2021)
IAR
North Carolina(9/5/2023)
Exams
Current Firm
JG
JOHN G. ULLMAN & ASSOCIATES, INC
JOHN G. ULLMAN & ASSOCIATES, INC | ULLMAN JOHN & ASSOCIATES INC
CRD#: 105361 / SEC#: 801-14064
RIA
Registered Investment Advisory firm - (9/20/1978 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
343 Daniel Zenker Drive, Horseheads, NY 14845
Mailing Address
Po Box 1424, Corning, NY 14830
Phone number
(607) 936-3785
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,835 |
| AUM (Assets Under Management) | $ 1,360,062,953 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 01/29/2024 | ||
| 02/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
