James D. Ackerman

ACKERMAN ASSET MANAGEMENT

ROCKVILLE, MD

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CRD#: 2780227

Professional summary

James David Ackerman is a registered financial advisor currently at ACKERMAN ASSET MANAGEMENT, LLC located in Rockville, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view James David Ackerman's CRS (Customer Relationship Summary).

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

June 7, 2006 - Present

ACKERMAN ASSET MANAGEMENT, LLC

RIA

CRD#: 137958

ROCKVILLE, MD

Past

December 21, 2005 - June 29, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ROCKVILLE, MD

Past

November 24, 2003 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

August 11, 2003 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

Past

May 2, 2001 - August 20, 2002

PUNK, ZIEGEL & COMPANY, L.P.

CRD#: 26174

NEW YORK, NY

Past

August 20, 1998 - February 16, 2001

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

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".

ACKERMAN ASSET MANAGEMENT, LLC

CRD#: 137958 / SEC#: 801-114891

RIA

Registered Investment Advisory firm - (3/27/2019 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/16/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(2/26/2019)

IAR

Texas
(6/7/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/20/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/29/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/2000

General Securities Principal Examination

Current Firm

ACKERMAN ASSET MANAGEMENT, LLC

CRD#: 137958 / SEC#: 801-114891

RIA

Registered Investment Advisory firm - (3/27/2019 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/16/2019 Terminated)

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Contact information

Main Address

Rockville, MD

Mailing Address

Phone number

(301) 230-2088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACKERMAN ASSET MANAGEMENT - FORM ADV PART 2A & 2B - MARCH.21.2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 644,704,851

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.

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James D. Ackerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David Ackerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PUNK, ZIEGEL & COMPANY, L.P.

B. RILEY SECURITIES, INC.

Primary Firm SEC Registration

ACKERMAN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2003

Series 63

Date: 8/6/1998

SIE

Date: 6/29/2018

Series 31

Date: 10/20/2003

Series 7

Date: 7/29/1998

Series 24

Date: 8/1/2000

Current Firm

ACKERMAN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ACKERMAN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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