FA
Frank B B. Ackerman
NEW EDGE WEALTH
STAMFORD, CT 06902
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CRD#: 1110398
FA
Professional summary
Frank B Barry Ackerman, who also goes by Frank Barry Ackerman, is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
Frank B is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank B has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Barry Ackerman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NEW EDGE WEALTH~INVESTMENT RELATED~DARIEN, CT~INVESTMENT ADVISOR REPRESENTATIVE~JULY 2021~80HRS PER MONTH~76HrsPER MONTH DURING MARKET~FINANCIAL SERVICES TO HIGH NET WORTH INDIVIDUALS-Stamford, CT 2. Third Floor Asset Management, LLC*Yes Invest*CT*7/17/21*Managing Director*LLC for NEW business*Managing Member*0 Hrs trade/0 non trade
CRS (Client Relationship Summary) - RIA
Click below to view Frank B Barry Ackerman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 19, 2021 - Present
NEW EDGE WEALTH
Office #1: 2200 Atlantic Street 2nd Floor, Stamford, CT 06902RIA
CRD#: 307771
STAMFORD, CT
Current
July 16, 2021 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902BD
CRD#: 10674
Stamford, CT
Past
July 16, 2021 - August 9, 2021
NEW EDGE WEALTH
RIA
CRD#: 307771
DARIEN, CT
Past
July 3, 2008 - July 29, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
July 3, 2008 - July 29, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
March 30, 2006 - July 11, 2008
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
February 6, 1984 - July 11, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 29, 1983 - January 27, 1984
SENTRY SECURITES CORP.
BD
CRD#: 10028
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/16/2021)
RR
Colorado(7/16/2021)
RR
Connecticut(7/16/2021)
IAR
Connecticut(8/19/2021)
RR
Florida(7/16/2021)
RR
Louisiana(9/22/2022)
RR
Maryland(1/3/2023)
RR
Massachusetts(7/16/2021)
RR
Mississippi(7/16/2021)
RR
Nebraska(7/16/2021)
RR
Nevada(10/13/2022)
RR
New Jersey(7/16/2021)
RR
New York(7/16/2021)
RR
North Carolina(7/16/2021)
RR
Texas(7/16/2021)
IAR
Texas(1/2/2025)
RR
Utah(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2200 Atlantic Street Suite 200, Stamford, CT 06902
Mailing Address
Phone number
(203) 424-2262
Established
Firm type
Fiscal year end
# of Employees
152
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,680 |
| AUM (Assets Under Management) | $ 12,064,984,416 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 01/27/2023 | ||
| 07/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
