Norman Forness has been Managing Principal of Forness Financial since September 2014, is a control person of the firm and directly owns between 50% and 75% of it. Norman Forness holds a Bachelor of Science in Business Administration from The University of Buffalo and a Juris Doctor.
Forness Financial LLC is a Needham, MA firm with $203M under management, 227 clients and 3 advisers in one office, as of its February 2026 filing.
Norman Forness is Managing Principal of Forness Financial and a Private Wealth Advisor. For over 25 years he has been a Personal Financial Advisor, as a Financial Advisor with Ameriprise Financial, a Senior Vice President of Forness & Forness, and now a Private Wealth Manager and Managing Principal of Forness Financial LLC. Earlier he had a long business career with Siemens AG, including Vice President of the New York and New England regions.
Norman Forness’ longest registration is the current one, 12 years at Forness Financial since 2014. Before joining Forness Financial in 2014, Norman Forness was registered through Ameriprise Financial Services, Inc.
- Forness Financial LLCCurrent– present · 12 yearsNeedham, MA · Adviser representative · Firm CRD 172473
- Ameriprise Financial Services, Inc.– · 8 yearsNeedham, MA · Adviser representative · Firm CRD 6363
Professional designations
Listed by Forness Financial
- CRPC®
Investment adviser representative registrations
Norman Forness is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2014; the most recent is Texas, in February 2015.
- MassachusettsSince 21 October 2014
- TexasResidentSince 20 February 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 9 December 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 November 1997 |
| Series 7 | General Securities Representative Examination | 17 November 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Norman Anthony Forness
- CRD
- 2950592
- Firm
- Forness Financial · CRD 172473
- Role
- Managing Principal
- Office
- 105 CHESTNUT STREET, SUITE 37, Needham, MA 02492
- Registration
- Investment adviser registration
- In the industry since
- October 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fornessfinancial.com
Where does Norman Forness work?
Norman Forness has been Managing Principal of Forness Financial LLC since September 2014, and is a control person of the firm.
Is Norman Forness a financial advisor?
Yes. Norman Forness has a current investment-adviser registration in Massachusetts and Texas, through Forness Financial since October 2014.
How many years of experience does Norman Forness have?
Norman Forness has 20 years in the financial industry, since October 2006, across 2 adviser firms.
What exams has Norman Forness passed?
Norman Forness has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in November 1997. FINRA credited Norman Forness with the SIE, which began in October 2018.
Where is Norman Forness based?
Norman Forness’ registered office is in Needham, MA.
Is Norman Forness registered with FINRA?
No. Norman Forness has no current broker registration.
How can I verify Norman Forness’ record?
Search CRD 2950592 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Norman Forness’ full registration record.
