Samuel R. Williams

FORUM FINANCIAL MANAGEMENT, LP

Midlothian, VA 23113

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CRD#: 6070713

Professional summary

Samuel R. Williams, who also goes by Samuel R Williams, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Midlothian, Virginia.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Samuel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel R Williams

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) Ash Brokerage; Not investment-related; 888 South Harrison Street, Suite 900, Fort Wayne, IN 46802; Insurance brokerage; Insurance agent; 10/2021; 10 hours/month devoted; 5 hours during securities trading hours; Insurance sales and services. 2) Trinity Episcopal School; Not investment-related; 3850 Pittaway Drive, Richmond, VA 23235; Private school; Trustee; 5/2021; 2 hours/month devoted; 0 hours during securities trading hours; Serves on Board of Trustees.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel R. Williams'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

August 26, 2021 - Present

FORUM FINANCIAL MANAGEMENT, LP

Office #1: 14321winter Breeze Drive Suite 24, Midlothian, VA 23113

RIA

CRD#: 145706

Midlothian, VA

Past

January 11, 2019 - August 17, 2021

CG ADVISORY SERVICES

RIA

CRD#: 110929

Richmond, VA

Past

January 19, 2018 - March 2, 2020

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

North Chesterfield, VA

Past

July 1, 2013 - January 23, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RICHMOND, VA

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

Virginia
(8/26/2021)

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: 1/11/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/1/2013

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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Advisor Monitoring

Firm Stability Insights

Samuel R. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel R. Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CG ADVISORY SERVICES

GENEOS WEALTH MANAGEMENT, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FORUM FINANCIAL MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2019

Series 63

Date: 7/13/2013

SIE

Date: 10/1/2018

Series 6

Date: 7/1/2013

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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