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Andrew Ullmann

On Investment Management CO
42 Years of Experience
Shavano Park, TX
3 DisclosuresBrokerSells Insurance
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Andrew Ullmann is a ChFC-designated registered investment advisor at On Investment Management CO, based in Shavano Park, TX, with 42 years of industry experience. Andrew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 4 more. Their firm serves 9,568 clients with $3.2B in assets under management.

On Investment Management CO
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
208 advisors
Number of Clients
9,568 clients
Average Client Portfolio
$329K average
Assets Under Management
$3.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Representative fees for managed account programs range from 0.30% to 1.50% annually. Third-party investment advisory programs have separate unique fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

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 · 19 yrs 4 mos
The O.N. Equity Sales CompanyBroker
June 2007 - Present · 19 yrs 4 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

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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