JS
Joseph A. Spokas
FORUM FINANCIAL MANAGEMENT, LP
LOMBARD, IL 60148
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CRD#: 1688775
JS
Professional summary
Joseph Anthony Spokas, CFP®, who also goes by Joe Spokas, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Lombard, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Lombard, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Investment Planning
Estate Planning
Debt Management
Business Succession Planning
Retirement Planning
Small Business Planning
Education Planning
Comprehensive Financial Planni...
Divorce Planning
Employee and Employer Plan Ben...
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Joe Spokas
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) Pinnacle Wealth Management; Investment-related; 1900 South Highland Avenue, Suite 100, Lombard, IL 60148; Investment services; Advisor; 9/2011; 1-5 hours/month devoted; 1-5 hours during securities trading hours; Investment services 2)Highland Towers LLC; Not investment-related;1900 S. Highland Ave. Suite 100, Lombard, IL 60148; Real estate; Owner; 5/2010; 1-5 hours/month devoted; 1-5 hours during securities trading hours; Property manager. 3) SSG Investments LLC; Investment-related; 1900 S. Highland Ave. Suite 100, Lombard, IL 60148; holding company for real estate investments; Managing Member and Limited Partner; 10/27/2023; 0-5 hours per month; 0 hours during securities trading hours; management and control of the LLC and investment selection. 4) SSF RE Investment LLC; Investment-related; 1900 S. Highland Ave. Suite 100, Lombard, IL 60148; holding company for real estate investments; Managing Member and Limited Partner; 12/01/24; 0-5 hours per month; 0 hours during securities trading hours; management and control of the LLC and investment selection. 5) Lithotype; Not investment-related; 2 Territorial Court, Suite B, Bolingbrook, IL 60440; Custom Packaging Materials; Board of Directors; October 2025; 0-5 hours per month; 0-5 hours during securities trading hours; Serve on the Board and attend quarterly meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Spokas'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®
CFP®
Start date: 1998
Experience
Current
March 12, 2009 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 1900 S. Highland Avenue Suite 100, Lombard, IL 60148RIA
CRD#: 145706
LOMBARD, IL
Current
February 28, 2011 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1900 South Highland Avenue Suite 100, Lombard, IL 60148BD
CRD#: 35747
Lombard, IL
Past
February 16, 1998 - December 31, 2009
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LOMBARD, IL
Past
June 24, 1987 - 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Illinois(3/12/2009)
RR
Illinois(2/28/2011)
IAR
Texas(1/23/2023)
RR
Washington(10/21/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
