Sarah E. Collier

JOHN G. ULLMAN & ASSOCIATES,

Horseheads, NY 14845

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CRD#: 8025371

Professional summary

Sarah Emily Johanna Collier, who also goes by Sarah E.j. Collier, Sarah Emily Collier, is a registered financial advisor currently at JOHN G. ULLMAN & ASSOCIATES, INC located in Horseheads, New York.

Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Sarah has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sarah E.j. Collier | Sarah Emily Collier

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 Sarah Emily Johanna Collier'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

January 13, 2025 - Present

JOHN G. ULLMAN & ASSOCIATES, INC

Office #1: 343 Daniel Zenker Drive, Horseheads, NY 14845

RIA

CRD#: 105361

Horseheads, 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
(1/13/2025)

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 65

Date: 1/11/2025

Uniform Investment Adviser Law 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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Sarah E. Collier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarah Emily Johanna Collier's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN G. ULLMAN & ASSOCIATES, INC

Primary Firm SEC Registration

JOHN G. ULLMAN & ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2025

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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