NM
Norbert M. Mindel
FORUM FINANCIAL MANAGEMENT, LP
CAREFREE, AZ
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CRD#: 1254630
NM
Professional summary
Norbert Mac Mindel, CFP®, who also goes by Norb Mindel, Norbert Mindel, Norm Mindel, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Carefree, Arizona.
Norbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Norbert has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Norb Mindel | Norbert Mindel | Norm Mindel
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) F.A.M. LLC; Investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; General Partner to Forum Financial Management, LP; Member; 07/2002; less than 5 hours per month; less than 5 hours during securities trading hours; provide certain management services pursuant to Forum Financial Management, LP as part of a service agreement. 2) Forum Shared Services; Not investment related; 1900 S. Highland Ave. Suite 100, Lombard, IL 60148; Managed Services Company; Director; 10/01/2020; Less than 5 hours per month; Less than 5 hours during securities trading hours; provide certain management services pursuant to Forum Financial Management, LP as part of a service agreement. 3) 7 Guys Office Condo LLC; Not investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; Reale estate entity owning office condominiums; Member; 07/2002; Less than 5 hours per month; Less than 5 hours during securities trading hours; No direct activities, real estate investment. 4) Mindel Corp.; Investment related; Post Office Box 4591, Cave Creek, AZ 85327; Holding entity; President and Sole Shareholder; 2018; Less than 5 hours per month; 0 during securities trading hours; No direct activity, this is a holding entity that holds interest in Forum Financial Management, LP.
CRS (Client Relationship Summary) - RIA
Click below to view Norbert Mac Mindel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 12, 2009 - Present
FORUM FINANCIAL MANAGEMENT, LP
RIA
CRD#: 145706
CAREFREE, AZ
Past
February 28, 2011 - October 3, 2011
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
LOMBARD, IL
Past
February 5, 2004 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
Past
February 17, 1998 - December 31, 2009
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LOMBARD, IL
Past
June 13, 1984 - March 1, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
LOMBARD, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
Registered Investment Advisory firm - (3/9/2009 Approved)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.Highlighted states indicate IAR registrations
IAR
Arizona(1/12/2023)
IAR
Illinois(3/12/2009)
IAR
Texas(12/10/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FF
FORUM FINANCIAL MANAGEMENT, LP
FORUM | WEALTH ADVISER ALLIANCE | FORUM FINANCIAL MANAGEMENT, LP | FORUM FINANCIAL MANAGEMENT, LLC | FORUM FINANCIAL
CRD#: 145706 / SEC#: 801-69970
RIA
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Contact information
Main Address
1900 South Highland Avenue Suite 100, Lombard, IL 60148
Mailing Address
Phone number
(630) 873-8520
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,456 |
| AUM (Assets Under Management) | $ 9,030,636,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 12/20/2024 | ||
| 10/19/2023 |
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.
