Alfred A. Marwede

FORUM FINANCIAL MANAGEMENT, LP

LAKE FOREST, IL 60045

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CRD#: 2230521

Professional summary

Alfred Andrew Marwede, who also goes by A Andrew Marwede, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Lake Forest, Illinois.

Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Alfred has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

A Andrew Marwede

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; Not investment related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; General Partner to Forum Financial Management, LP; Member; 08/2012; 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Andrew Marwede'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

August 1, 2012 - Present

FORUM FINANCIAL MANAGEMENT, LP

Office #1: 181 East Westminster Road, Lake Forest, IL 60045Office #2: 10556 North Port Washington Road Suite 201, Mequon, WI 53092

RIA

CRD#: 145706

LAKE FOREST, IL

Past

April 23, 2004 - November 30, 2012

SERIOUS STEWARDSHIP, LLC

RIA

CRD#: 130544

LAKE FOREST, IL

Past

January 17, 2003 - April 5, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

January 17, 2003 - April 5, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 13, 1998 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

CHICAGO, IL

Past

August 16, 1996 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 6, 1992 - April 4, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

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
(8/1/2012)

IAR

Texas
(7/10/2014)

IAR

Wisconsin
(10/13/2022)

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: 9/11/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/13/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/4/1992

General Securities Representative 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)

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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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Alfred A. Marwede

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Andrew Marwede's CRS (Customer Relationship Summary).

Certified licenses

Experience

SERIOUS STEWARDSHIP, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

NOMURA SECURITIES INTERNATIONAL, INC.

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1996

Series 63

Date: 6/29/1992

Series 3

Date: 11/13/2002

Series 7

Date: 5/4/1992

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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