Timothy Joseph Forman

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
FL	RA	APPROVED	2018-02-15
PA	RA	APPROVED	2018-02-14

NY RA
APPROVED

Since 2021-08-03
FL RA
APPROVED

Since 2018-02-15
PA RA
APPROVED

Since 2018-02-14

Branch Locations

2297 Saranac Ave, Lake Placid, NY 12946 • United States

1199 Main St, Long Lake, NY 12847 • United States

46 Broadway, Saranac Lake, NY 12983 • United States

6321 Nys Rte 30, Indian Lake, NY 12842 • United States

75 Park St, Tupper Lake, NY 12986 • United States

244 Main St., North Creek, NY 12853 • United States

4782 State Hwy 30, Amsterdam, NY 12010 • United States

197 Delaware Avenue, Delmar, NY 12054 • United States

2967 Route 9, Valatie, NY 12184 • United States

567 Columbia Turnpike, East Greenbush, NY 12061 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Invest Financial Corporation	Tampa	FL	01/2011	02/2018
Community Bank, Na	Tupper Lake	NY	11/2008	03/2018
Lpl Financial Llc	Albany	NY	02/2018	Present
Sunmark Federal Credit Union	Latham	NY	03/2018	04/2019
Community Bank	Albany	NY	04/2019	Present

01/2011 → 02/2018

Invest Financial Corporation

Tampa, FL
11/2008 → 03/2018

Community Bank, Na

Tupper Lake, NY
02/2018 → Present

Lpl Financial Llc

Albany, NY
03/2018 → 04/2019

Sunmark Federal Credit Union

Latham, NY
04/2019 → Present

Community Bank

Albany, NY

Previous Registrations

2014-02-07 → 2018-02-16

Invest Financial Corporation

Appleton, WI

Tupper Lake, NY

Tupper Lake, NY

Long Lake, NY

Whitehall, NY

Newcomb, NY

Ticonderoga, NY

Tupper Lake, NY

Lake Placid, NY

Saranac Lake, NY

Indian Lake, NY

Au Sable Forks, NY

North Creek, NY

Saranac Lake, NY

Appleton, WI

St Regis Falls, NY
2006-11-06 → 2008-11-07

Citizens Securities, Inc.

Ticonderoga, NY

Ausable Forks, NY

Indian Lake, NY

Lake Placid, NY

Long Lake, NY

Newcomb, NY

Whitehall, NY

Saranac Lake, NY

Tupper Lake, NY

Other Businesses

1. 02/14/2018 - No Business Name - Not Investment Related - 800 LANCASTER ST, ALBANY, NY 12203, ALBANY, NY - Real Estate Rental - Owner - Start Date 1996 -1 Hours Per Month/0 During Securities Trading. 2. 5/8/2019 - Community Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/23/2019 - 40 Hours Per Month/0 Hours During Securities Trading. 3. 11/12/2019 - Community Investment Services - Investment related - 8 Southwoods Blvd., suite 201 Albany NY 12211 - Non-Variable Insurance - start date:4/23/2019 - 40 hrs/mo - 0 hrs during trading. 4. 04/04/2025 - Nottingham Investment Services, Inc. - Investment related - DBA for LPL Business (entity for LPL business) - None - 0 Hrs/Mth - 0 Hrs During Trading - Start Date: 3/31/2025

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-02-06
S63	Uniform Securities Agent State Law Examination	1991-05-31

S65 Uniform Investment Adviser Law Examination

2014-02-06
S63 Uniform Securities Agent State Law Examination

1991-05-31

View on SEC IAPD