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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

TIMOTHY JOSEPH FORMAN

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5afb1456-6635-a8a0-00b2-33ec4c8996c6

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2006 to Sep 19, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 31, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: May 31, 1991
First registration: Nov 6, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 2120678

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 14, 2018	n/a	yes	ALBANY, NY\|AMSTERDAM, NY\|CANAJOHARIE, NY\|COLONIE, NY\|DELMAR, NY\|EAST GREENBUSH, NY\|INDIAN LAKE, NY\|JOHNSTOWN, NY\|LAKE PLACID, NY\|LATHAM, NY\|LONG LAKE, NY\|NORTH CREEK, NY\|SARANAC LAKE, NY\|SCHENECTADY, NY\|TUPPER LAKE, NY\|VALATIE, NY	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Feb 7, 2014	Feb 16, 2018	no	APPLETON, WI\|TUPPER LAKE, NY\|TUPPER LAKE, NY\|LONG LAKE, NY\|WHITEHALL, NY\|NEWCOMB, NY\|TICONDEROGA, NY\|TUPPER LAKE, NY\|LAKE PLACID, NY\|SARANAC LAKE, NY\|INDIAN LAKE, NY\|AU SABLE FORKS, NY\|NORTH CREEK, NY\|SARANAC LAKE, NY\|APPLETON, WI\|ST REGIS FALLS, NY	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Nov 6, 2006	Nov 7, 2008	no	TICONDEROGA, NY\|AUSABLE FORKS, NY\|INDIAN LAKE, NY\|LAKE PLACID, NY\|LONG LAKE, NY\|NEWCOMB, NY\|WHITEHALL, NY\|SARANAC LAKE, NY\|TUPPER LAKE, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 16, 2018	Feb 14, 2018	-2	Bulk transfer	Other
CITIZENS SECURITIES, INC.	INVEST FINANCIAL CORPORATION	Nov 7, 2008	Feb 7, 2014	1,918	Firm change after gap	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Feb 7, 2014 to Feb 16, 2018factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Nov 6, 2006 to Nov 7, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5afb1456-6635-a8a0-00b2-33ec4c8996c6
First observed: Nov 6, 2006
Last observed: Sep 19, 2026 2 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TIMOTHY JOSEPH FORMAN

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5afb1456-6635-a8a0-00b2-33ec4c8996c6

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Feb 14, 2018

n/a

yes

Current employment

INVEST FINANCIAL CORPORATION

Former SEC adviser

Feb 7, 2014

Feb 16, 2018

Previous registration

CITIZENS SECURITIES, INC.

Bd affiliated wealth

Nov 6, 2006

Nov 7, 2008

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

INVEST FINANCIAL CORPORATION

LPL FINANCIAL LLC

Feb 16, 2018

Feb 14, 2018

-2

Bulk transfer

Other

CITIZENS SECURITIES, INC.

INVEST FINANCIAL CORPORATION

Nov 7, 2008

Feb 7, 2014

1,918

Firm change after gap

Other