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ULLMAN JOHN & ASSOCIATES INC, CRD 105361
HORSEHEADS, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN GUY ULLMAN | n/a | CORNING, NY | 36 | 48 | n/a | no |
| KAREN BURNS MERIWETHER | Certified Financial Planner | CORNING, NY | 5 | 42 | n/a | no |
| JASON DANIEL NICKERSON | Certified Financial Planner | HORSEHEADS, NY | 5 | 28 | n/a | no |
| PETER JAMES WINNETT | Certified Financial Planner | HORSEHEADS, NY | 5 | 28 | n/a | no |
| JUDITH ANN PALUMBO | Certified Financial Planner | HORSEHEADS, NY | 5 | 39 | n/a | no |
| KATHRYN WRIGHT GERWIG | Certified Financial Planner | HORSEHEADS, NY | 5 | 39 | 1 | no |
| AMANDA LEE HERRICK SMITH | Certified Financial Planner | HORSEHEADS, NY | 5 | 20 | n/a | no |
| ANDREW HAAG BARON | Certified Financial Planner | HORSEHEADS, NY | Rhinebeck, NY | 5 | 12 | 1 | no |
| THOMAS GRAHAM SNOW | n/a | CORNING, NY | 5 | 44 | n/a | no |
| DARREN LEE WILCOX | Certified Financial Planner | HORSEHEADS, NY | 5 | 20 | n/a | no |
| TODD A BROST | Certified Financial Planner | Charlotte, NC | HORSEHEADS, NY | 5 | 20 | n/a | no |
| Jakob Parker Brost | n/a | HORSEHEADS, NY | 2 | 12 | n/a | no |
| Jase Hollenbeck Merrill | n/a | HORSEHEADS, NY | Rhinebeck, NY | 2 | 29 | n/a | no |
| Lynda Jean Lander | Certified Financial Planner | HORSEHEADS, NY | 2 | 13 | n/a | no |
| Derek Alan Doyle | n/a | Rhinebeck, NY | 2 | 10 | n/a | no |
| SCOTT WESTON TOWNSEND | Certified Financial Planner | Lakewood Ranch, FL | HORSEHEADS, NY | 2 | 22 | n/a | no |
| Shawn Stephen Twigg | Certified Financial Planner | Corning, NY | HORSEHEADS, NY | 1 | 17 | 3 | no |
| Sarah Emily Johanna Collier | n/a | HORSEHEADS, NY | 1 | 11 | n/a | no |
| Lisa Anne Caracci | n/a | HORSEHEADS, NY | 1 | 12 | n/a | no |
| Daniel Aaron Coakwell | n/a | HORSEHEADS, NY | 0 | 27 | n/a | no |
| Alexander T Chacho | n/a | HORSEHEADS, NY | 0 | 10 | n/a | no |
| Logan Joshua Dibble | n/a | HORSEHEADS, NY | 0 | 11 | n/a | no |
| Joseph Thomas Ashton | n/a | HORSEHEADS, NY | 0 | 13 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COLE, ROBERT, ESMONDE | Director | Na | yes | 01/1979 | Mar 30, 2026 | Mar 30, 2026 |
| GALLAGHER, CHRISTINE, CRONIN | Director | Na | yes | 03/2025 | Mar 30, 2026 | Mar 30, 2026 |
| HALE, DAVID, BIRDSALL | Director | Na | yes | 02/2011 | Mar 30, 2026 | Mar 30, 2026 |
| MERIWETHER, KAREN, BURNS | SENIOR VICE PRESIDENT | Na | yes | 01/1984 | Mar 30, 2026 | Mar 30, 2026 |
| NICKERSON, JASON, DANIEL | PRESIDENT, COO, EXECUTIVE VICE PRESIDENT, DIRECTOR | Na | yes | 03/2023 | Mar 30, 2026 | Mar 30, 2026 |
| NOZELL, JOHN, DYNELEY | Director | Na | yes | 02/2007 | Mar 30, 2026 | Mar 30, 2026 |
| O'REILLY, ROBERT, OWEN | Director | Na | yes | 06/2016 | Mar 30, 2026 | Mar 30, 2026 |
| PINTO, MELEATA, MENIKKI SMALLS | Director | Na | yes | 03/2025 | Mar 30, 2026 | Mar 30, 2026 |
| SNOW, THOMAS, GRAHAM | SENIOR VICE PRESIDENT | Na | yes | 07/1982 | Mar 30, 2026 | Mar 30, 2026 |
| Steven, Kauffman, Alan | VICE PRESIDENT | Na | yes | 03/2020 | Mar 30, 2026 | Mar 30, 2026 |
| ULLMAN, BARBARA, LYNN | FIRST VICE PRESIDENT, DIRECTOR | D | yes | 08/1978 | Mar 30, 2026 | Mar 30, 2026 |
| ULLMAN, JOHN, GUY | CHAIRMAN OF THE BOARD, CEO, TREASURER, DIRECTOR | D | yes | 08/1978 | Mar 30, 2026 | Mar 30, 2026 |
| WILCOX, DARREN, LEE | CORPORATE SECRETARY & SENIOR VICE PRESIDENT | Na | yes | 02/2009 | Mar 30, 2026 | Mar 30, 2026 |
| ZINGLER, HOWARD, JAY | Director | Na | yes | 03/2012 | Mar 30, 2026 | Mar 30, 2026 |
| HUFF, DONALD, ALLEN | VICE PRESIDENT | Na | no | 03/2020 | Mar 30, 2026 | Mar 30, 2026 |
| KRASNANSKY, JENNIFER, ELIZABETH | CHIEF COMPLIANCE OFFICER | Na | no | 02/2007 | Mar 30, 2026 | Mar 30, 2026 |
| Malone, Connie, Jean | Controller | Na | no | 03/2017 | Mar 30, 2026 | Mar 30, 2026 |
| ULLMAN, JOHN, GUYMUNDAY | Director | Na | no | 03/2015 | Mar 30, 2026 | Mar 30, 2026 |
| WINNETT, PETER, JAMES | SENIOR VICE PRESIDENT | Na | no | 02/2008 | Mar 30, 2026 | Mar 30, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Corning | NY | United States | 9 | no |
| Rhinebeck | NY | United States | 3 | no |
| Charlotte | Nc | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $1.5B | $1.5B | 58 | 30 | 3 | n/a | n/a |
| 2024 | Mar 26, 2025 | $1.4B | $1.3B | 63 | 31 | 3 | n/a | n/a |
| 2023 | Mar 27, 2024 | $1.3B | $1.2B | 56 | 29 | 3 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.2B | $1.2B | 58 | 30 | 3 | n/a | n/a |
| 2021 | Mar 28, 2022 | $1.3B | $1.3B | 48 | 26 | 3 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.2B | $1.1B | 48 | 29 | 3 | n/a | n/a |
| 2019 | Mar 27, 2020 | $1.2B | $1.2B | 49 | 30 | 3 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.1B | $1.0B | 49 | 32 | 3 | n/a | n/a |
| 2017 | Mar 29, 2018 | $1.1B | $1.0B | 40 | 29 | 2 | n/a | n/a |
| 2016 | Mar 28, 2017 | $1.0B | $979M | 34 | 24 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $970M | $941M | 32 | 23 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $1.1B | $1.1B | 35 | 22 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $1.1B | $1.1B | 35 | 25 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $940M | $916M | 43 | 25 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $867M | $843M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.5B | $1.4B | 11.1% | $1.2B | 8.0% | 58 | 63 | 3 | 3 |