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1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| IL | RA | APPROVED | 2018-08-08 |
Branch Locations
1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 01/2012 | 06/2018 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 01/2012 | 06/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2018 | Present |
| Forum Financial Management, Lp | Lombard | IL | 08/2018 | Present |
| Healthcare Services Of Illinois, Inc. | Chicago | IL | 10/2013 | Present |
| Pinnacle Wealth Management, Llc | Lombard | IL | 08/2018 | Present |
1.Forum Administrative Services; Not investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; Entity created to pay shared overhead expenses; Director; 07/2023; Less than 5 hours per month; Less than 5 hours during securities trading hours; Oversee and manage overhead costs and attend board meetings 2.Purshe Kaplan Sterling Investments, Inc.; Investment related; 80 State Street, Albany, NY 12207; Broker-dealer; Registered Representative; 08/2018; 60 hours/month devoted; 60 hours during securities trading hours; sell securities. 3.Pinnacle Wealth Management; Investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL. 60148; D.B.A entity for investment related business through Purshe Kaplan Sterling Investments, Inc.; Managing Member; 08/2018; 160 hours/month devoted; 160 hours during securities trading hours; investment services. 4.Healthcare Services of Illinois, Inc; Investment related; 8770 West Bryn Mawr Avenue, Suite 1300, Chicago, IL 60631; Health Insurance; President/Owner; 10/2013; 25 hours per month; 25 hours during securities trading hours; Health insurance sales. 5.Forum Financial Management, LP; Investment related; 1900 S. Highland Ave. Lombard, IL 60148; Registered Investment Adviser; Investment Adviser; 08/2018; 80 hours/month devoted; 80 hours during securities trading hours; Investment services. 6. Ash Brokerage; Investment-related; 888 S. Harrison St., Fort Wayne, IN 46802; independent insurance Agent; 12/2012; Less than 80 hours/month; Less than 50 hours during securities trading hours; Completes insurance needs analysis and provides recommendations for insurance products (fixed annuity, life, disability and long-term care insurance) if there's a client need.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-12-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-28 |
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