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AA

Alexander M. Ackerhalt

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CRD#: 2863773
AA

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.

Alexander Michael Ackerhalt, who also goes by Alex Ackerhalt, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 1997. Alexander had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Ackerhalt

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 18, 2011 - May 21, 2013

CORNERSTONE TRADING, LLC

BD
CRD#: 34276
CHICAGO, IL
Past

March 21, 1997 - May 20, 1998

ESSEX CAPITAL MARKETS, INC.

BD
CRD#: 11896
ROCHESTER, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/26/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1997
General Securities Representative Examination

Current Firm

CT
CORNERSTONE TRADING, LLC
CORNERSTONE PARTNERS | CORNERSTONE TRADING, LLC

CRD#: 34276 / SEC#: , 8-45457

BD
Terminated by SEC on 02/01/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 12/31/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JTL SECURITIES, INCCLASS A MEMBER, MANAGING MEMBER
DUFFY, MARK FRANCISCLASS A MEMBER870978
DOOLEY, RICHARD SCOTTCCO5879453
JOHN P OOSTERBAAN SECURITIES, LLCCLASS B MEMBER

Disclosures

Regulatory Event4

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.

Company Information

CORNERSTONE TRADING, LLC

CRD#: 34276

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