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MM

Michael G. Moles

FORUM FINANCIAL MANAGEMENT, LP
CHICAGO, IL 60638
Some features on this profile are disabled
CRD#: 6733286
MM

Professional summary

Michael George Moles is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Chicago, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

top-8-questions

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) Match Enterprises; Not investment-related; 6508 W. Archer Ave, Chicago IL 60638; Tax Services; Tax Preparer; 06/2016; 20 hours/month devoted; 20 hours during securities trading hours; Preparation of tax returns.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael George Moles'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

January 7, 2017 - Present

FORUM FINANCIAL MANAGEMENT, LP

Office #1: 6508 West Archer Avenue, Chicago, IL 60638
RIA
CRD#: 145706
CHICAGO, IL
Current

August 21, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 6508 W. Archer Ave, Chicago, IL 60638
BD
CRD#: 35747
Chicago, IL

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/6/2025)
RR
Colorado
(10/6/2025)
RR
Florida
(10/6/2025)
RR
Hawaii
(10/6/2025)
IAR
Illinois
(1/7/2017)
RR
Illinois
(9/22/2017)
RR
Indiana
(10/6/2025)
RR
Louisiana
(10/6/2025)
RR
Michigan
(10/6/2025)
RR
Nevada
(10/6/2025)
IAR
Texas
(3/7/2024)
RR
Texas
(10/6/2025)
RR
Virginia
(10/6/2025)
RR
Wisconsin
(7/23/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/7/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts21,456
AUM (Assets Under Management)$ 9,030,636,924

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

FORUM FINANCIAL MANAGEMENT, LP

CRD#: 145706Chicago, IL 60638

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