Juan C. Ros
FORUM FINANCIAL MANAGEMENT, LP
THOUSAND OAKS, CA 91360
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CRD#: 6028956
Professional summary
Juan Carlos Ros, CFP® is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Thousand Oaks, California.
Juan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Juan has worked at 2 firms .
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) Financially Zen, LLC; Not investment-related; 29425 N. 67th Way, Scottdale, AZ 85266; Financial education; Owner and Founder; 03/2024; Less than 5 hours/month devoted; 0 hours during securities trading hours; Generates and collaborates on social media content, creates virtual learning curriculum, and consults on charitable giving strategies. 2) Mary Ann Liebert, Inc.; Not investment-related; 140 Huguenot Street, 3rd Floor, New Rochelle, NY 10801; Publishing; Editorial Board Member; 1/2016; Less than 5 hours/month devoted; 0 hours during securities trading hours; Writes and reviews articles for the journal Planned Giving Today. 3) CSU Long Beach Research Foundation; Not investment-related; 6300 State University Drive, Suite 332, Long Beach, CA 90815; Education; Faculty Member; 6/2015; 5 hours/month devoted; 0 hours during securities trading hours; Teaches financial planning to students enrolled in the Certified Specialist in Planned Giving (CSPG) designation program through the American Institute of Philanthropic Studies. 4) National Association of Estate Planners and Councils (NAEPC); Not investment-related; 2001 Crocker Road, Suite 510, Westlake, OH 44145; Professional network for estate planning councils and credentialed professionals; Board Member; 01/2024; 5 hours per month; Less than 5 hours during securities trading hours; participate in Board and committee meetings, as well as make decisions in furtherance of NAEPC's mission and vision. 5) Arizona Community Foundation; Not investment-related; 2201 E. Camelback Rd. #405B, Phoenix, AZ 85016; Community Center for Philanthropy; Planning Committee Member; 2/2025; Less than 5 hours per month; Less than 5 hours during securities trading hours; Serve on the Committee and advise on topics and speakers for the Tax and Legal Seminar, as well as coordinating sponsorships for the event. 6) XPX Chapters - Exit Planning Exchange; Not investment-related; P.O. Box 385, Winchester, MA 01890; Forum for Professional Advisors; Phoenix Chapter Launch Committee member; 4/2025; Less than 5 hours per month; Less than 5 hours per month; Recruit additional members and work to establish and maintain a Phoenix Chapter for XPX. 7) F.A.M. LLC; Not investment-related; 1900 S. Highland Ave. Suite 100 Lombard, IL 60148; General Partner to Forum Financial Management, L.P.; Member; 4/2024; Less than 5 hours per month; Less than 5 hours during securities trading hours; provide certain management services pursuant to Forum Financial Management, LP as part of a service agreement.
CRS (Client Relationship Summary) - RIA
Click below to view Juan Carlos Ros'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®
CFP®
Start date: 2010
Experience
Current
October 24, 2018 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 100 East Thousand Oaks Boulevard Suite 200, Thousand Oaks, CA 91360Office #2: 16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254RIA
CRD#: 145706
THOUSAND OAKS, CA
Past
March 7, 2012 - April 2, 2019
LAMIA FINANCIAL GROUP, INC.
RIA
CRD#: 146421
THOUSAND OAKS, 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".
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.Highlighted states indicate IAR registrations
IAR
Arizona(3/28/2024)
IAR
California(10/24/2018)
IAR
Texas(5/18/2021)
Exams
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
Registered Investment Advisory firm - (3/9/2009 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706Thousand Oaks, CA 91360TRUST BUT VERIFY
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