DL
David D. Lennon
FORUM FINANCIAL MANAGEMENT, LP
JOLIET, IL 60435
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CRD#: 2505780
DL
Professional summary
David Daniel Lennon is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Joliet, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Joliet, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.
1) Purshe Kaplan Sterling Investments, Inc.; Investment-related; 80 State Street, Albany, NY 12207; Broker dealer; Registered Representative; 10/2013; 20 hours/month devoted; 15 hours during securities trading hours; sell mutual fund and variable annuities. 2) Senesac & Lennon, Ltd.; Not investment-related; 333 North Hammes Avenue, Suite 104, Joliet, IL 60435; Accounting and tax services; Owner; 6/1994; 150 hours/month devoted; 75 hours during securities trading hours; Accounting and tax services. 3) Sole Proprietor; investment-related; 333 North Hammes Avenue, Joliet, IL 60435; Insurance; Insurance agent; 10/2013; less than 5 hours/month devoted; less than 5 hours during securities trading hours; sell fixed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view David Daniel Lennon'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
October 24, 2013 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 333 North Hammes Avenue, Suite 104, Joliet, IL 60435RIA
CRD#: 145706
JOLIET, IL
Current
October 24, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 333 N. Hammes Ave, Joliet, IL 60435BD
CRD#: 35747
JOLIET, IL
Past
January 23, 2004 - October 29, 2013
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
JOLIET, IL
Past
July 28, 1994 - October 29, 2013
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
JOLIET, 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
RR
Arizona(2/4/2015)
RR
Florida(10/24/2013)
RR
Illinois(10/24/2013)
IAR
Illinois(10/24/2013)
RR
Indiana(1/7/2015)
RR
Michigan(8/29/2022)
RR
Missouri(8/29/2022)
IAR
Texas(8/26/2015)
RR
Texas(8/29/2022)
RR
Virginia(2/4/2015)
RR
Wisconsin(10/24/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
