Richard Edward Ackerman

Current Employers

Employment History

• 12/2013 → 06/2020
  Axa Distributors, Llc
  Jersey City, NJ
• 12/2013 → 02/2021
  Equitable Distributors, Llc
  Jersey City, NJ
• 09/2021 → 08/2024
  Saxony Securities
  St. Louis, MO
• 02/2021 → 09/2021
  Unemployed
  Chesterfield, MO
• 09/2021 → 08/2024
  Saxony Capital Management
  St. Louis, MO
• 08/2024 → 01/2026
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 08/2024 → 01/2026
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 01/2026 → Present
  Lpl Financial Llc
  Ellisvilee, MO

Previous Registrations

• 2024-08-02 → 2026-01-15
  Cambridge Investment Research Advisors, Inc.
  Chesterfield, MO
  Chesterfield, MO
  Chesterfield, MO
• 2021-09-14 → 2024-08-20
  Saxony Capital Management, Llc
  Chesterfield, MO
  Saint Louis, MO

Other Businesses

1) 01/05/2026 - CYC Ascension / Coach Soccer / Coach/ Sports/ Fitness / Non Inv Related /Chesterfield MO 63005 / Start date 08/01/2026 - 4 Total Hours per month - 0 Total Hours per month during trading 2) 01/05/2026 - Parkway Central Middle School / Coach Basketball / Coach/ Sports/ Fitness / Non Inv Related / Chesterfield MO 63017 / Start date 12/15/2025 - 3 Total Hours per month - 0 Total Hours per month during trading 3) 01/05/2026 - Jones Investment Group / DBA LPL Business (entity for LPL business) Inv Related / At reported business location (s) 4) 01/05/2026 - SEJ Holdings LLC / Business Entity For Tax/Investment Purposes Only / Owner / Non Inv Related / Chesterfield MO 63017 / Start date 01/12/2026 - 10 Total Hours per month - 10 Total Hours per month during trading 5) 03/02/2026 - 3P Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/05/2026 - 160 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-06-23
• S63 Uniform Securities Agent State Law Examination
  2014-01-25

Other Names

• Rick Ackerman