Roger C. Ackerman

LOOMIS SAYLES DISTRIBUTORS, L.P.

Boston, MA 02111

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CRD#: 2339950

Professional summary

Roger Craig Ackerman, who also goes by Roger C Ackerman, is a registered financial professional currently at LOOMIS SAYLES DISTRIBUTORS, L.P. located in Boston, Massachusetts.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1993. Roger has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roger C 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Craig 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®

None

Experience

Current

August 17, 2009 - Present

LOOMIS SAYLES DISTRIBUTORS, L.P.

Office #1: One Financial Center, Boston, MA 02111

CRD#: 41795

Boston, MA

Past

July 28, 2005 - August 11, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BOSTON, MA

Past

May 24, 2005 - August 6, 2009

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

June 8, 2004 - May 5, 2005

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

June 24, 2002 - March 31, 2004

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

November 15, 2000 - May 6, 2002

GENERAL RE SECURITIES CORPORATION

CRD#: 29434

NEW YORK, NY

Past

September 27, 1999 - October 19, 2000

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

January 27, 1998 - July 27, 1999

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

January 1, 1996 - November 18, 1997

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

May 14, 1993 - February 24, 1995

JPMSI

CRD#: 15733

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(8/17/2009)

Exams

State Security Law Exam

Series 63

Date: 3/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/8/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795 / SEC#: , 8-49575

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Financial Center, Boston, MA 02111

Mailing Address

One Financial Center, Boston, MA 02111-2620

Phone number

(617) 482-2450

Established

Delaware since 07/25/1996

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LOOMIS SAYLES & COMPANY, L.P.	LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER
KLOCEK, JOHN FRANCIS	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6256015
LEGER, MAURICE PAUL	PRESIDENT	4575004
LOOMIS SAYLES DISTRIBUTORS, INC.	SOLE GENERAL PARTNER
MCCARTHY, MARY	VP, SECRETARY
O'CONNOR, OLGA A.	VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL	7436902

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Roger C. Ackerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Craig Ackerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

COMMERZ MARKETS LLC

APEX CLEARING CORPORATION

GENERAL RE SECURITIES CORPORATION

COMMERZBANK CAPITAL MARKETS CORP.

NATWEST MARKETS SECURITIES INC.

NATWEST SECURITIES CORPORATION

JPMSI

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/1994

SIE

Date: 10/1/2018

Series 3

Date: 2/8/2010

Series 7

Date: 5/13/1993

Series 24

Date: 1/8/2004

FINRA

Current Firm

LOOMIS SAYLES DISTRIBUTORS, L.P.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LOOMIS SAYLES DISTRIBUTORS, L.P.

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