Shawn S. Twigg

JOHN G. ULLMAN & ASSOCIATES,

Corning, NY 14830

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CRD#: 7290749

Professional summary

Shawn Stephen Twigg is a registered financial advisor currently at JOHN G. ULLMAN & ASSOCIATES, INC located in Corning, New York.

Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Shawn has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.

NAME OF ENTITY: MOUNTAIN VIEW REAL ESTATE HOLDINGS, INC; No; 10379 CHEESE FACTORY ROAD; CORNING; NY; 14830; RENTAL ESTATE BUSINESS; VICE PRESIDENT; 4/1/2015; 10; 0; AUTHORIZE MATERIAL PURCHASES AND SALES OF PROPERTIES, SOME DAY TO DAY INVOLVEMENT| NAME OF OTHER BUSINESS: KYLE M. TWIGG; INVESTMENT RELATED: NO; ADDRESS: 286 E MAIN ST CANTON, PA 17724; NATURE OF BUSINESS: LOGGING AND TIMBER HARVESTING; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP EQUIPMENT OPERATOR:; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS 0:; BRIEF DESCRIPTION OF DUTIES: PART TIME EQUIPMENT OPERATOR LOGGING AND TIMBER HARVESTING;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Stephen Twigg'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®

None

Experience

Current

November 14, 2024 - Present

JOHN G. ULLMAN & ASSOCIATES, INC

Office #1: 51 E Market Street, Corning, NY 14830

RIA

CRD#: 105361

Corning, NY

Past

June 29, 2023 - October 21, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WILLIAMSPORT, PA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WILLIAMSPORT, PA

Past

June 9, 2021 - October 21, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WILLIAMSPORT, PA

Past

January 12, 2021 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

WILLIAMSPORT, PA

Past

October 30, 2020 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WILLIAMSPORT, PA

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
(11/14/2024)

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: 12/21/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/30/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/22/2020

Securities Industry Essentials 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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Advisor Monitoring

Firm Stability Insights

Shawn S. Twigg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Stephen Twigg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

JOHN G. ULLMAN & ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2020

Series 7TO

Date: 10/30/2020

SIE

Date: 5/22/2020

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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