Marvin L. Peplow

FORUM FINANCIAL MANAGEMENT, LP

Hartland, WI

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CRD#: 3181260

Professional summary

Marvin Lee Peplow is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Hartland, Wisconsin.

Marvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Marvin has worked at 3 firms and has passed the Series 65, Series 66 and Series 6 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) Piedmont Realty LLC; Not investment-related; 470 Park Court, Hartland, WI 53029; Commercial real estate; Manager; 3/2019; 5 hours/month devoted; 5 hours during securities trading hours; Oversee rental of commercial rental property. 2) Peplow & Peplow LLC; Not investment-related; 470 Park Court, Hartland, WI 53029; CPA Firm; President; 2/2022; 120 hours/month devoted; 100 hours during securities trading hours; Management of accounting and tax practice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Lee Peplow'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

December 21, 2016 - Present

FORUM FINANCIAL MANAGEMENT, LP

RIA

CRD#: 145706

Hartland, WI

Past

July 26, 1999 - December 31, 2002

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BARTLETT, IL

Past

April 22, 1999 - December 31, 2002

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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(4/5/2022)

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: 12/21/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/16/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 4/21/1999

Investment Company Products/Variable Contracts 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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Marvin L. Peplow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Lee Peplow's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORUM FINANCIAL MANAGEMENT, LP

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2016

Series 66

Date: 3/16/1999

Series 6

Date: 4/21/1999

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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