Kimberly S. Forness

FORNESS FINANCIAL LLC

Needham, MA 02492

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CRD#: 4055782

Professional summary

Kimberly Soroko Forness, CFP®, who also goes by Kimberly Nadia Soroko, Kimberly Soroko, is a registered financial advisor currently at FORNESS FINANCIAL LLC located in Needham, Massachusetts.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kimberly has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Nadia Soroko | Kimberly Soroko

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Soroko Forness'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: 2005

Experience

Current

June 26, 2017 - Present

FORNESS FINANCIAL LLC

Office #1: 105 Chestnut Street Suite 37, Needham, MA 02492

RIA

CRD#: 172473

Needham, MA

Past

July 22, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 22, 2004 - October 31, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NEEDHAM, MA

Past

October 28, 1999 - September 10, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 28, 1999 - September 10, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

FORNESS FINANCIAL LLC

CRD#: 172473 / SEC#: 801-112637

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Florida

Registered Investment Advisory firm - (4/3/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/3/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/3/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(6/26/2017)

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

Series 63

Date: 11/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/1999

General Securities Representative Examination

Current Firm

FORNESS FINANCIAL LLC

CRD#: 172473 / SEC#: 801-112637

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Florida

Registered Investment Advisory firm - (4/3/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/3/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/3/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/3/2018 Terminated)

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Contact information

Main Address

105 Chestnut Street Suite 37, Needham, MA 02492

Mailing Address

Phone number

(781) 400-2604

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORNESS DISCLOSURE BROCHURE AND SUPPLEMENTS (1/21/2025)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 176,247,615

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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Firm Stability Insights

Kimberly S. Forness

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Soroko Forness's CRS (Customer Relationship Summary).

Certified licenses

Experience

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FORNESS FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/18/1999

SIE

Date: 10/31/2014

Series 7

Date: 10/27/1999

Current Firm

FORNESS FINANCIAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORNESS FINANCIAL LLC

TRUST BUT VERIFY

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