William O. Morrison

FORUM FINANCIAL MANAGEMENT, LP

SAINT CHARLES, IL 60174

Some features on this profile are disabled

CRD#: 1562574

Professional summary

William Orrin Morrison JR is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Saint Charles, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. William has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Four Forty Forum LLC; Not investment-related; 440 S. Third Street Suite 202 St. Charles, IL 60174; Real Estate; Owner; 1994; Less than 5 hours per month devoted; Less than 5 hours during securities trading hours; manage rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Orrin Morrison JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 13, 2015 - Present

FORUM FINANCIAL MANAGEMENT, LP

Office #1: 440 South 3rd Street, Suite 202, Saint Charles, IL 60174

RIA

CRD#: 145706

SAINT CHARLES, IL

Past

February 17, 2015 - October 16, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

St. Charles, IL

Past

December 4, 1998 - February 17, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ST. CHARLES, IL

Past

November 6, 1986 - February 17, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ST. CHARLES, 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".

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

Illinois
(2/13/2015)

IAR

Texas
(2/13/2015)

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

State Security Law Exam

IAR

Series 65

Date: 12/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2001

General Securities Principal Examination

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORUM FINANCIAL MANAGEMENT, LP ADV PART 2A (3/31/2025)

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	Cover Page	Report
12/20/2024	Cover Page	Report
10/19/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William O. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Orrin Morrison JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/1998

Series 63

Date: 3/1/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Series 24

Date: 1/26/2001

Current Firm

FORUM FINANCIAL MANAGEMENT, LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORUM FINANCIAL MANAGEMENT, LP

TRUST BUT VERIFY

Contact information

Similar Advisors