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Andrew Thomas Ullmann

On Investment Management CO
41 Years of Experience
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Retirement PlanningEducation PlanningEstate PlanningSpecial Needs Planning
On Investment Management CO
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
203 advisors
Number of Clients
8,323 clients
Average Client Portfolio
$286K average
Assets Under Management
$2.4B

Fee Structure

Location

Shavano Park, TX

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
April 2019
Final
Customer Dispute
April 2007
Settled
Customer Dispute
May 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Andrew is the owner of Concord Financial Services since 1984, offering life, health, disability, LTC, fixed annuities, voluntary employee benefits, group retirement annuities, SPIA & AD&D, and lectures CPA CPE. This takes about half of Andrew's time.

Employment History
Current Registrations
On Investment Management CO
June 2007 - Present · 18 yrs 8 mos
The O.N. Equity Sales CompanyBroker
June 2007 - Present · 18 yrs 8 mos
Previous Registrations
MML Investors Services, INC.
July 2001 - June 2007 · 5 yrs 11 mos
MML Investors Services, INC.Broker
June 2001 - June 2007 · 6 yrs
Park Avenue Securities LLCBroker
May 1999 - June 2001 · 2 yrs 1 mo
Guardian Investor Services CorporationBroker
July 1992 - May 1999 · 6 yrs 10 mos
Fahnestock & CO., INC.Broker
March 1990 - July 1992 · 2 yrs 4 mos
B.C. Christopher Securities CO.Broker
June 1985 - March 1990 · 4 yrs 9 mos
Nml Equity Services, INC.Broker
August 1984 - September 1985 · 1 yr 1 mo
State Registrations2 states
AZTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.