JL
James A. Lapera
FORUM FINANCIAL MANAGEMENT, LP
Lombard, IL 60148
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CRD#: 2026236
JL
Professional summary
James Arnold Lapera is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Lombard, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Lombard, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 27 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.
1) Sole Proprietor; Not investment-related; 1900 South Highland Avenue, Suite 100, Lombard, IL 60148; Insurance sales; Insurance agent; 2/2011; less than 5 hours/month devoted; less than 5 hours during securities trading hours; Insurance sales. 2) Chicago Trade Inc.; Not investment-related; 1900 South Highland Avenue, Suite 100, Lombard, IL 60148; Holding company; Owner; 1/1997; less than 5 hours/month devoted; less than 5 hours during securities trading hours; Annual filing of returns. 3) Lapcor Real Estate Services; Not investment-related; 1900 S. Highland Avenue, Suite 100, Lombard, IL 60148; Real estate; Owner; 5/29/2023; less than 5 hours/month devoted; less than 5 hours during securities trading hours; Real estate land management. 4) 3027 Clifton LLC; Not investment-related; 1900 S. Highland Avenue, Suite 100, Lombard, IL 60148; Real Estate; Owner; 7/01/1995; Less than 5 hours/month devoted; less than 5 hours during securities trading hours; Landlord. (5) FORUM FINANCIAL MANAGEMENT; INVESTMENT RELATED; AN SEC REGISTERED INVESTMENT ADVISER; AT REGISTERED BRANCH LOCATION; SOLICITOR; 10 HRS/MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view James Arnold Lapera'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®
NoneExperience
Current
January 25, 2012 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 1900 South Highland Avenue Suite 100, Lombard, IL 60148RIA
CRD#: 145706
Lombard, IL
Current
February 28, 2011 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1900 S. Highland Ave Suite 201, Lombard, IL 60148BD
CRD#: 35747
Lombard, IL
Past
December 2, 2002 - January 5, 2005
GENEVA TRADING LLC
BD
CRD#: 100740
CHICAGO, IL
Past
December 2, 2002 - January 5, 2005
GENEVA STOCK, L.L.C.
BD
CRD#: 104435
GURNEE, IL
Past
March 1, 2002 - March 1, 2011
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SKOKIE, IL
Past
January 16, 2002 - March 1, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SKOKIE, IL
Past
February 20, 1990 - May 21, 1990
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
Past
February 16, 1990 - March 6, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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
RR
Arizona(3/1/2011)
RR
Colorado(3/1/2011)
RR
Florida(3/1/2011)
RR
Georgia(11/22/2013)
RR
Illinois(2/28/2011)
IAR
Illinois(1/25/2012)
RR
Indiana(1/23/2014)
RR
Iowa(4/25/2024)
RR
Kentucky(5/18/2011)
RR
Michigan(3/1/2011)
RR
Missouri(3/1/2011)
RR
New Mexico(4/25/2024)
RR
New York(3/1/2011)
RR
Pennsylvania(6/20/2017)
RR
South Dakota(4/25/2024)
RR
Texas(3/1/2011)
RR
Washington(4/25/2024)
RR
Wisconsin(3/1/2011)
RR
Wyoming(4/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
