Jeffrey A. Borenstein

FORUM FINANCIAL MANAGEMENT, LP

Thousand Oaks, CA

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CRD#: 3181733

Professional summary

Jeffrey Arnold Borenstein, CFP® is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Thousand Oaks, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Jeffrey has worked at 5 firms and has passed the Series 66 and Series 7 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.

Lamia Financial Group, Inc.; Not investment-related; 100 East Thousand Oaks Boulevard, Suite 200, Thousand Oaks, CA 91360; Accounting and tax preparation services; Vice President and Certified Public Accountant; 7/2008; 11-20 hours/month devoted; 11-20 hours during securities trading hours; Accounting and tax preparation services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Arnold Borenstein'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

October 24, 2018 - Present

FORUM FINANCIAL MANAGEMENT, LP

RIA

CRD#: 145706

Thousand Oaks, CA

Past

November 13, 2008 - April 2, 2019

LAMIA FINANCIAL GROUP, INC.

RIA

CRD#: 146421

THOUSAND OAKS, CA

Past

July 29, 2002 - March 7, 2014

JBB FINANCIAL, LLC

RIA

CRD#: 135685

THOUSAND OAKS, CA

Past

November 6, 2001 - September 2, 2009

GOLD COAST SECURITIES, INC.

CRD#: 110925

THOUSAND OAKS, CA

Past

May 17, 1999 - November 6, 2001

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

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

California
(10/24/2018)

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 66

Date: 7/27/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/27/1999

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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Jeffrey A. Borenstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Arnold Borenstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORUM FINANCIAL MANAGEMENT, LP

LAMIA FINANCIAL GROUP, INC.

JBB FINANCIAL, LLC

GOLD COAST SECURITIES, INC.

LONDON PACIFIC SECURITIES, INC.

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/27/1999

Series 7

Date: 4/27/1999

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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