Debra A. Gardi

FORUM FINANCIAL MANAGEMENT, LP

SARASOTA, FL 34231

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CRD#: 2196712

Professional summary

Debra Ann Gardi, who also goes by Debra Ann Zuckerman, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Sarasota, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Sarasota, Florida.

Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Debra has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Debra Ann Zuckerman

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) Florida Institute of Certified Public Accountants (FICPA); Not investment-related; 250 South Orange Ave. Suite 300P, Orlando, FL 32801; Professional organization for CPAs; Chapter Chair Person; 6/2022; 5 hours/month devoted; less than 5 hours during securities trading hours; Organize events for the chapter. 2) LDAD LLC; Not investment-related; 7061 South Tamiami Trail, Sarasota, FL 34231; Real estate; Owner & Partner; 1/2007; less than 5 hours/month devoted; less than 5 hours during securities trading hours; Real estate ownership.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Ann Gardi'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

January 25, 2019 - Present

FORUM FINANCIAL MANAGEMENT, LP

Office #1: 7061 South Tamiami Trail, Sarasota, FL 34231

RIA

CRD#: 145706

SARASOTA, FL

Current

January 22, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 7061 S. Tamiami Trail, Sarasota, FL 34231

CRD#: 35747

Sarasota, FL

Past

September 11, 2003 - January 23, 2019

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SARASOTA, FL

Past

July 31, 1998 - January 23, 2019

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SARASOTA, FL

Past

January 12, 1995 - July 22, 1998

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 3, 1992 - December 9, 1994

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, 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.

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

Florida
(1/22/2019)

IAR

Florida
(1/25/2019)

Illinois
(1/22/2019)

Washington
(7/14/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/18/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/30/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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)

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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)

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.

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Firm Stability Insights

Debra A. Gardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Ann Gardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX INVESTMENT SERVICES, INC.

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2003

Series 63

Date: 1/21/1992

SIE

Date: 10/1/2018

Series 6

Date: 1/30/1992

FINRA

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

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