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Josh Keith Ackerman

CFP®, ChFC®
CONTEXT FINANCIAL
LEXINGTON, KY
·CRD# 5157750·15 years experience

Professional Summary

Josh Keith Ackerman, CFP®, ChFC® is a registered financial advisor currently at CONTEXT FINANCIAL LLC located in Lexington, Kentucky. Josh is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Josh has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 2009
ChFC®
Chartered Financial Consultant

Years of Experience

15 years in the financial services industry

Current & Past Employments

CONTEXT FINANCIAL LLC·CRD# 281812
RIA
120 Kentucky Ave. Suite 120, Lexington, KY 40502
January 5, 2016 - Present
LPL FINANCIAL LLC·CRD# 6413
RIA
Lexington, KY
July 21, 2011 - December 31, 2015
WILSON FINANCIAL SERVICES INC.·CRD# 145397
RIA
Lexington, KY
May 19, 2011 - December 31, 2015
LPL FINANCIAL LLC·CRD# 6413
BD
Lexington, KY
March 28, 2011 - December 31, 2015

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Current Firm

CF
CONTEXT FINANCIAL LLC

CONTEXT FINANCIAL LLC

CRD#: 281812
Kentucky
Registered Investment Advisory firm - Kentucky (1/5/2016 Approved)

Contact Information

Main Address

120 Kentucky Ave. Suite 120, Lexington, KY 40502

Phone Number

(859) 514-1999

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

67

AUM (Assets Under Management)

$20,810,000

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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) Joshua Keith Ackerman is an independent licensed insurance agent, and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Context Financial LLC always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services of any representative of Context Financial LLC in connection with such individual's activities outside of Context Financial LLC. 2) Gatton College of Business & Economics. University of Kentucky; Investment related: No; Location: 550 South Limestone Lexington KY 40506 USA; Position: Instructor ; Responsibilities Duties: Instructor over the Finance & Quantitative Methods program at Gatton College of Business. ; Start date: 2019-10-22; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 10; Will an IRS form for income earned be received: Yes; Additional notes: Please note this position is only for 6 months out of the year. Therefore 0 hours are devoted to this position 6 months out of the year.

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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.
IAR
Kentucky
(1/5/2016)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2011About the Series 6 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Josh Keith Ackerman's CRS (Customer Relationship Summary).

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