Privacy Policy

Welcome to John G. Ullman & Associates, Inc. (JGUA).  We understand that privacy online is important to users of our Site, especially when conducting business. This statement governs our privacy policies with respect to those users of the Site (“Visitors”) who visit without transacting business, and Visitors who register to transact business on the Site and make use of the various services offered by John G. Ullman & Associates, Inc.  (collectively, “Services”) (“Authorized Customers”).

“Personally Identifiable Information (PII)”
Refers to any information that identifies or can be used to identify, contact, or locate the person to whom such information pertains, including, but not limited to, name, address, phone number, fax number, email address, financial profiles, social security number, and credit card information. PII does not include information that is collected anonymously (that is, without identification of the individual user) or demographic information not connected to an identified individual.

What Personally Identifiable Information is collected?
We collect information about you from applications and other forms, from transactional activity in your account, from other interactions with JGUA, such as through our Website, from verification services, and consumer reporting agencies, from companies providing marketing and demographic information, and information obtained to protect against fraud and identity theft.

Why do we collect information?
JGUA collects information about you in order to protect your identity from unauthorized access, to better understand your needs as a client, and to provide you with the levels of service you have come to expect from us.  We use this information to develop, offer, and deliver services, to process transactions in your account, to respond to inquiries from you or your representative, and to fulfill legal and regulatory requirements.

With whom may the information be shared?
JGUA only discloses PII collected about our current and prospective clients as permitted by law.  We may disclose the PII we collect to financial service affiliates such as investment companies and securities broker-dealers performing necessary services for JGUA consumers.  We may disclose information to government agencies and law enforcement officials in response to subpoenas or to comply with laws.  These disclosures will be made only to the extent permitted by law.

These third parties are required to maintain the confidentiality of information we share with them and to use it solely for the purpose for which it is disclosed. We also offer the opportunity to “opt out” of receiving information or being contacted by us or by any agency acting on our behalf.


How is Personally Identifiable Information stored?
PII collected by John G. Ullman & Associates, Inc.  is securely stored and is not accessible to third parties or employees of John G. Ullman & Associates, Inc. except for use as indicated above.

What choices are available to Visitors regarding collection, use and distribution of the information?
Visitors and Authorized Customers may opt out of receiving unsolicited information from or being contacted by us and/or affiliated agencies by responding to emails as instructed, or by contacting us at John G. Ullman & Associates, Inc., P.O. Box 1424, Corning, NY 14830.

Are Cookies used on the Site?
Cookies are used for a variety of reasons. We use Cookies to obtain information about the preferences of our Visitors and the services they select. We also use Cookies for security purposes to protect our Authorized Customers. For example, if an Authorized Customer is logged on and the site is unused for more than 10 minutes, we will automatically log the Authorized Customer off.

How does John G. Ullman & Associates, Inc. use login information?
John G. Ullman & Associates, Inc. uses login information, including, but not limited to, IP addresses, ISPs, and browser types, to analyze trends, administer the Site, track a user’s movement and use, and gather broad demographic information.

Disclosure of Personally Identifiable Information to comply with law.
We will disclose PII in order to comply with a court order or subpoena or a request from a law enforcement agency to release information. We will also disclose PII when reasonably necessary to protect the safety of our Visitors and Authorized Customers.

How does the Site keep Personally Identifiable Information secure?
All of our employees are familiar with our security policy and practices. The PII of our Visitors and Authorized Customers is only accessible to a limited number of qualified employees who are given a password in order to gain access to the information. We audit our security systems and processes on a regular basis. Sensitive information, such as credit card numbers or social security numbers, is protected by encryption protocols, in place to protect information sent over the Internet. While we take commercially reasonable measures to maintain a secure site, electronic communications and databases are subject to errors, tampering and break-ins, and we cannot guarantee or warrant that such events will not take place and we will not be liable to Visitors or Authorized Customers for any such occurrences.

How can Visitors correct any inaccuracies in Personally Identifiable Information?
Visitors and Authorized Customers may contact us to update PII about them or to correct any inaccuracies by emailing us at [email protected]

Can a Visitor delete or deactivate Personally Identifiable Information collected by the Site?
We provide Visitors and Authorized Customers with a mechanism to delete/deactivate PII from the Site’s database by contacting us. However, because of backups and records of deletions, it may be impossible to delete a Visitor’s entry without retaining some residual information. An individual who requests to have PII deactivated will have this information functionally deleted, and we will not sell, transfer, or use PII relating to that individual in any way moving forward.

What happens if the Privacy Policy changes?
We will let our Visitors and Authorized Customers know about changes to our privacy policy by posting such changes on the Site. However, if we are changing our privacy policy in a manner that might cause disclosure of PII that a Visitor or Authorized Customer has previously requested not be disclosed, we will contact such Visitor or Authorized Customer to allow such Visitor or Authorized Customer to prevent such disclosure.

Links: contains links to other web sites. Please note that when you click on one of these links, you are moving to another web site. We encourage you to read the privacy statements of these linked sites as their privacy policies may differ from ours.