NH
Nedal Z. Halawa
FORUM FINANCIAL MANAGEMENT, LP
Lombard, IL 60148
Some features on this profile are disabled
CRD#: 3079765
NH
Professional summary
Nedal Ziad Halawa, AIF®, who also goes by Neal Ziad Halawa, Nedal Z Halawa, Neal Ziad Halaway, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Lombard, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Lombard, Illinois.
Nedal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Nedal has worked at 7 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
Neal Ziad Halawa | Nedal Z Halawa | Neal Ziad Halaway
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. Forum Financial Management d/b/a Pinnacle Wealth Management. Investment-related. At registered location. RIA. Partner. 08/2018. 80 hrs/month. 4 hrs during securities hrs. Investment services. 2. Healthcare Services of Illinois. Investment-related. 8770 West Bryn Mawr Avenue, Suite 1300, Chicago, IL 60631. Health Insurance. Owner. 10/2013. 140 hrs/month. 5 hrs during securities hrs. Health insurance sales. 3. Forum Administrative Services. Not investment-related. 1900 S. Highland Ave., Suite 100, Lombard, IL 60148. Operating LLC/Support Company. Director. 09/2025. 2 hrs/month. 2 hrs during securities hrs. I do not have any duties pertaining to this entity except to sign off on annual minutes along with updating the board and making sure entity expenses come directly out of this corp.
CRS (Client Relationship Summary) - RIA
Click below to view Nedal Ziad Halawa'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®
Experience
Current
August 8, 2018 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 1900 South Highland Avenue Suite 100, Lombard, IL 60148RIA
CRD#: 145706
Lombard, IL
Current
August 6, 2018 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1900 South Highland Avenue Suite 100, Lombard, IL 60148Office #2: 1900 S. Highland Ave Suite 201, Lombard, IL 60148BD
CRD#: 35747
Lombard, IL
Past
January 4, 2012 - August 7, 2018
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CHICAGO, IL
Past
January 4, 2012 - August 7, 2018
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CHICAGO, IL
Past
January 13, 2006 - December 16, 2011
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCHAUMBURG, IL
Past
December 14, 2005 - December 16, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
March 17, 2003 - November 29, 2005
LASALLE FINANCIAL SERVICES, INC.
RIA
CRD#: 20373
CHICAGO, IL
Past
October 2, 2001 - November 29, 2005
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
October 17, 2000 - October 8, 2001
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 19, 1999 - October 17, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(8/24/2020)
RR
California(5/14/2019)
RR
Colorado(8/18/2020)
RR
Connecticut(7/17/2023)
RR
District of Columbia(1/27/2022)
RR
Florida(8/19/2020)
RR
Georgia(7/19/2023)
RR
Illinois(8/6/2018)
IAR
Illinois(8/8/2018)
RR
Indiana(8/18/2020)
RR
Louisiana(7/14/2023)
RR
Massachusetts(10/1/2020)
RR
Michigan(8/20/2020)
RR
Minnesota(8/18/2020)
RR
Missouri(1/3/2022)
RR
New Jersey(7/14/2023)
RR
New York(10/3/2020)
RR
North Carolina(9/11/2020)
RR
Ohio(11/16/2021)
RR
Oklahoma(1/27/2022)
RR
Pennsylvania(7/17/2023)
RR
South Carolina(6/19/2019)
RR
Tennessee(5/13/2022)
RR
Texas(8/19/2020)
IAR
Texas(1/12/2023)
RR
Vermont(9/30/2020)
RR
Virginia(10/16/2021)
RR
Washington(6/30/2023)
RR
Wisconsin(8/18/2020)
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.
