Andrew H. Baron

JOHN G. ULLMAN & ASSOCIATES,

Rhinebeck, NY 12572

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CRD#: 6259780

Professional summary

Andrew Haag Baron, CFP® is a registered financial advisor currently at JOHN G. ULLMAN & ASSOCIATES, INC located in Rhinebeck, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Haag Baron's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

July 21, 2021 - Present

JOHN G. ULLMAN & ASSOCIATES, INC

Office #1: 20 East Market Street, Rhinebeck, NY 12572

RIA

CRD#: 105361

Rhinebeck, NY

Past

May 6, 2014 - October 17, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

Rochester, NY

Past

February 6, 2014 - April 8, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

FAIRPORT, NY

Past

November 14, 2013 - April 8, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

FAIRPORT, NY

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".

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
(7/21/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2013

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/26/2025)

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	Cover Page	Report
01/29/2024	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Firm Stability Insights

Andrew H. Baron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Haag Baron's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

JOHN G. ULLMAN & ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2013

SIE

Date: 10/17/2017

Series 7

Date: 11/14/2013

Current Firm

JOHN G. ULLMAN & ASSOCIATES, INC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHN G. ULLMAN & ASSOCIATES, INC

TRUST BUT VERIFY

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