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Andrew Haag Baron

John G. Ullman & Associates, Inc

Rhinebeck, NY

Horseheads, NY

CRD 6259780

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Employer firm

John G. Ullman & Associates, Inc CRD 105361

$1.51B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
John G. Ullman & Associates, Inc

343 Daniel Zenker Drive, Horseheads, NY 14845 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-21
  • NY RA
    APPROVED
    Since 2021-07-21

Branch Locations

20 East Market Street, Rhinebeck, NY 12572 • United States

343 Daniel Zenker Drive, Horseheads, NY 14845 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of America Rochester NY 04/2014 10/2017
Pruco Securities Llc Rochester NY 04/2014 10/2017
John G. Ullman & Associates, Inc. Horseheads NY 11/2017 Present
  • 04/2014 → 10/2017
    The Prudential Insurance Company Of America
    Rochester, NY
  • 04/2014 → 10/2017
    Pruco Securities Llc
    Rochester, NY
  • 11/2017 → Present
    John G. Ullman & Associates, Inc.
    Horseheads, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-12-12
  • S66 Uniform Combined State Law Examination
    2013-12-12
Designations
  • Certified Financial Planner

View on SEC IAPD

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Nearby Offices

COMMONWEALTH FINANCIAL NETWORK · Rhinebeck, NY
COMMONWEALTH FINANCIAL NETWORK · RHINEBECK, NY
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