Scott A. Ackerman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Alan Ackerman was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2017 - June 6, 2018
GLOBAL ALLIANCE SECURITIES LLC
July 26, 2011 - April 28, 2016
UBS SECURITIES LLC
June 29, 2010 - July 21, 2011
JEFFERIES LLC
April 29, 2002 - June 29, 2010
DEUTSCHE BANK SECURITIES INC.
August 12, 1996 - May 3, 2002
J.P. MORGAN SECURITIES LLC
June 30, 1995 - June 10, 1996
CIBC WORLD MARKETS CORP.
October 19, 1994 - June 6, 1995
NATWEST SECURITIES CORPORATION
February 12, 1992 - August 30, 1994
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/26/2005
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL ALLIANCE SECURITIES LLC
CRD#: 167164 / SEC#: , 8-69244
Contact information
FINRA licenses (34 States and Territories)
Red Flags
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