John C. Forbes

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

ESCONDIDO, CA

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CRD#: 706054

Professional summary

John Carter Forbes is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Escondido, California and LASALLE ST SECURITIES, L.L.C. located in Hollister, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

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.

INSURANCE; Dalmatian Club Photography Editor, Dalmatian Club of Northern California - Parliamentarian- attend board meetings of the Dalmatian Club of Northern California and attempt to provide clarity on any parliamentary issues.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Carter Forbes'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

February 5, 2014 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

ESCONDIDO, CA

Current

February 5, 2014 - Present

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Hollister, CA

Past

September 11, 2012 - January 20, 2014

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ESCONDIDO, CA

Past

September 10, 2012 - January 20, 2014

SECURITIES AMERICA, INC.

CRD#: 10205

ESCONDIDO, CA

Past

November 18, 2011 - September 11, 2012

FINANCIAL WEST GROUP

RIA

CRD#: 16668

ESCONDIDO, CA

Past

November 17, 2011 - September 11, 2012

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

June 11, 2007 - November 21, 2011

TORREY PINES SECURITIES, INC.

RIA

CRD#: 17120

ESCONDIDO, CA

Past

June 6, 2003 - November 21, 2011

TORREY PINES SECURITIES, INC.

CRD#: 17120

SAN DIEGO, CA

Past

May 28, 2002 - June 12, 2003

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN DIEGO, CA

Past

March 9, 2002 - June 12, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 14, 1998 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

March 21, 1980 - September 30, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 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.

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

Arizona
(2/5/2014)

IAR

Arizona
(5/1/2024)

California
(2/5/2014)

IAR

California
(2/5/2014)

Colorado
(2/5/2014)

Connecticut
(2/5/2014)

District of Columbia
(2/5/2014)

Florida
(11/9/2023)

Massachusetts
(8/19/2024)

Michigan
(2/5/2014)

IAR

Michigan
(5/3/2024)

Mississippi
(2/5/2014)

Nevada
(2/5/2014)

IAR

Nevada
(5/1/2024)

New York
(10/14/2025)

North Carolina
(8/27/2021)

Tennessee
(11/19/2015)

Virginia
(2/5/2014)

IAR

Virginia
(6/17/2024)

Wisconsin
(2/5/2014)

IAR

Wisconsin
(7/6/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/3/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 11/9/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 3/15/1980

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

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

John C. Forbes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Carter Forbes's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

TORREY PINES SECURITIES, INC.

TORREY PINES SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2000

Series 63

Date: 9/23/1985

SIE

Date: 10/1/2018

Series 5

Date: 11/9/1981

Series 7

Date: 3/15/1980

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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