David W. Seery
FORUM FINANCIAL MANAGEMENT, LP
THOUSAND OAKS, CA 91360
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CRD#: 6609184
Professional summary
David Ward Seery, CFP®, who also goes by David W. Seery, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Thousand Oaks, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. David has worked at 2 firms .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David W. Seery
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.
Mountain Meadows Quailridge II Homeowners Association; Not investment-related; 515 Marin Street, Suite 404, Thousand Oaks, CA 91360; Homeowners Association; Vice President of Board of Directors; 10/2017; 6-10 hours/month devoted; 1-5 hours during securities trading hours; Participates on Board of Directors to make decisions for homeowners association and community.
CRS (Client Relationship Summary) - RIA
Click below to view David Ward Seery'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: 2015
Experience
Current
October 16, 2018 - Present
FORUM FINANCIAL MANAGEMENT, LP
Office #1: 100 East Thousand Oaks Boulevard Suite 200, Thousand Oaks, CA 91360RIA
CRD#: 145706
THOUSAND OAKS, CA
Past
February 8, 2016 - 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
California(10/16/2018)
IAR
Texas(7/17/2019)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706Thousand Oaks, CA 91360TRUST BUT VERIFY
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