John G. Ullman

JOHN G. ULLMAN & ASSOCIATES,

CORNING, NY 14830

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CRD#: 863300

Professional summary

John Guy Ullman is a registered financial advisor currently at JOHN G. ULLMAN & ASSOCIATES, INC located in Corning, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. John has worked at 2 firms and has passed the Series 65, Series 63, F04 and Series 40 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.

DIRECTOR, AMERICAN EQUITY DEVELOPMENT CORP. DIRECTOR AND PRESIDENT USGM SECURITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Guy Ullman'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

February 27, 1990 - Present

JOHN G. ULLMAN & ASSOCIATES, INC

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

RIA

CRD#: 105361

CORNING, NY

Past

February 26, 1979 - November 27, 2006

U S G M SECURITIES, INC.

CRD#: 7866

CORNING, 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
(7/22/2021)

IAR

Texas
(2/27/1990)

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: 12/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1988

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

F04

Date: 1/5/1979

Financial Principal Examination

Principal/Supervisory Exam

Series 40

Date: 11/3/1978

Registered Principal 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.

Contact information

xxxxx@xxxx.xxx

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John G. Ullman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Guy Ullman's CRS (Customer Relationship Summary).

Certified licenses

Experience

U S G M SECURITIES, INC.

Primary Firm SEC Registration

JOHN G. ULLMAN & ASSOCIATES, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1995

Series 63

Date: 5/24/1988

F04

Date: 1/5/1979

Series 40

Date: 11/3/1978

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

Contact information

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