John Guy Ullman
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
JOHN G. ULLMAN & ASSOCIATES, INC | ULLMAN JOHN & ASSOCIATES INC
Contact Information
Main Address
343 Daniel Zenker Drive, Horseheads, NY 14845Mailing Address
Po Box 1424, Corning, NY 14830Phone Number
(607) 936-3785# of Employees
58SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,843AUM (Assets Under Management)
$1,511,017,383Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2026 | Cover Page | Report |
| 02/27/2025 | Cover Page | Report |
| 01/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
JOHN G. ULLMAN & ASSOCIATES, INC | ULLMAN JOHN & ASSOCIATES INC
State Registrations and Notice Filings
(7/22/2021)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
F04 — Financial Principal Examination
Passed Jan 1979Series 40 — Registered Principal Examination
Passed Nov 1978Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view John Guy Ullman's CRS (Customer Relationship Summary).
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