BUSINESS AND OWNER Forge Financial Services, LLC f/k/a Shaw Financial Services, LLC (referred to as “Forge”, “we”, “us”, “our”, “firm” or “advisor”) is an Oklahoma limited liability company that was formed in February 2004 with its principal place of business in Edmond, Oklahoma. It commenced operation as an investment adviser in January 2020 upon registration with the U.S. Securities and Exchange Commission (“SEC”). Charlotte N. Shaw is the owner of the firm. ADVISORY SERVICES OFFERED Forge, through its investment adviser representatives, provides personalized investment advisory solutions to its clients. We do this by obtaining the necessary financial data from the client including annual income, net worth, liquid net worth, investment experience, investment time horizon, liquidity needs, and risk tolerance to understand each client’s financial condition and investment objectives. Then, we assist the client in determining the suitability of an investment account or advisory program (including the fees and charges associated with such account or program). This includes helping a client to determine the amount of assets to be invested in an investment account or advisory program. Our investment adviser representatives are licensed as registered representatives of LPL Financial, LLC (“LPL”), a broker-dealer and registered investment advisor. As such, they are subject to regulations that restrict them from conducting securities transactions away from LPL without written authorization from LPL. For these reasons, LPL is the custodian and broker-dealer for the accounts offered at Forge. Forge is limited to offering services and investment vehicles (including mutual fund share classes) that are approved by LPL and may be prohibited from offering services and investment vehicles that are be available through other broker-dealers and custodians. Not all investment advisers require that their clients custody their accounts and trade through specific broker-dealers. LPL Advisory Programs Forge provides advisory services through programs sponsored by LPL. LPL serves as program sponsor, investment advisor and broker-dealer for the LPL Advisory Programs. Below is a brief description of each LPL Advisory Program in which Forge participates. For more information regarding the LPL Advisory Programs, including more information on the advisory services, fees that apply, the types of investments available in the programs and the potential conflicts of interest presented by the programs please see the program account packet (which includes the account agreement, LPL Form ADV, Part 2A and/or LPL Form ADV, Part 2A Appendix 1, as applicable). Manager Access Select Program (MAS) Manager Access Select program offers clients the ability to participate in the Separately Managed Account Platform (the “SMA Platform”) or the Model Portfolio Platform (the “MP Platform”). Forge assists the client in determining the client’s investment objectives, risk/return preferences, any investment restrictions on the management of the account, and, in the case of the SMA Platform, selecting an investment strategy and SMA Portfolio Manager from a list of SMA Portfolio Managers made available by LPL, or in the case of the MP Platform, selecting a Model Portfolio provided by LPL’s Research Department or third-party investment advisors (“Model Advisors”). With the SMA Platform, the SMA Portfolio Manager will manage client’s assets on a discretionary basis and will have discretion to invest among a broad variety of security types, including but not limited to equities, fixed income securities, options, mutual funds, closed-end funds, exchange-traded funds (“ETFs”), cash and cash equivalents. With the MP Platform, clients authorize LPL to direct the investment and reinvestment of the assets in their accounts on a discretionary basis, in accordance with the selected model portfolio, and LPL will have discretion to invest among a broad variety of security types, including but not limited to equities, fixed income securities, options, mutual funds, closed-end funds, exchange-traded funds (“ETFs”) cash and cash equivalents. FORGE FINANCIAL SERVICES, LLC | Form ADV Part 2A | v. March 2024 Page| 5 Forge will provide initial and ongoing assistance on a discretionary basis regarding the SMA Portfolio Manager and Model Portfolio selection process. Optimum Market Portfolios Program (OMP) OMP offers clients the ability to participate in a professionally managed asset

allocation program using Optimum Funds shares. Forge will assist the client in determining the suitability of OMP for the client and assist the client in setting an appropriate investment objective. Forge, on a discretionary basis, will select a mutual fund asset allocation portfolio designed by LPL consistent with the client’s investment objective. The portfolios are made up of mutual funds from the Optimum Funds mutual fund family, as well as, cash and cash equivalents. A portfolio may include up to six Optimum Funds. Under OMP, client will authorize LPL on a discretionary basis to buy and sell securities in the account and will invest the account based on the portfolio selected. LPL will also have authority to rebalance the account. LPL Non-Advisory Programs Strategic Wealth Management Accounts (SWM) For these accounts, Forge will provide individualized investment advice to each client on a discretionary basis aligned to the investment objective selected by the client. Forge will purchase and sell primarily mutual funds, and, as appropriate, utilize structured products, exchange-traded funds (“ETFs”), cash and cash equivalents. These accounts are managed by our individual investment advisor representatives who utilize model portfolios crafted by Forge’s Investment Committee (“IC”) to meet various investment objectives. LPL will provide custody and brokerage to the client. LPL provides no advisory services, has no discretion or investment authority for these accounts. Although Forge has access to research materials prepared by LPL, LPL will in no way recommend or pass upon the investment merit or suitability of any investment for these accounts. LPL has no duty to monitor the investment advice provided by Forge to these accounts. CLIENT NEEDS AND RESTRICTIONS Our investment advice is tailored to each client, as described above. Forge allows clients to impose reasonable restrictions on the management of the account. We will consider the restriction reasonable if, in our judgment, the restriction does not impair, in any material or other significant manner, our ability to manage a client’s assets in accordance with the investment strategy and guidelines for that client’s account. Reasonable restrictions, including special instructions and limitations, regarding the investment management of the account must be provided in writing. For accounts in the MAS or OMP Programs, please see the program account packet (which includes the account agreement, LPL Form ADV, Part 2A or LPL Form ADV, Part 2A Appendix 1, as applicable) for information on the imposition of investment restrictions. Clients are responsible for notifying us of any updates regarding their financial situation, investment objectives, or risk tolerance and whether they wish to impose or modify any existing investment restrictions. WRAP FEE PROGRAMS Wrap fee programs are defined as any advisory program under which a specified fee or fees not based directly upon transactions in a client’s account is charged for investment advisory services (which may include portfolio management or advice concerning the selection of other investment advisers) and the execution of client transactions. Participation in a wrap fee program may be appropriate for clients who desire the benefit of an ongoing advisory relationship, are interested in discretionary asset management, intend to actively engage in buy and sell investment strategies or who do not intend to maintain substantial positions in cash or cash equivalents. The MAS and OMP Programs are wrap fee programs sponsored by LPL. For more information regarding the LPL programs, including more information on the advisory services, fees that apply, the types of investments available in the programs and the potential conflicts of interest presented by the programs please see the FORGE FINANCIAL SERVICES, LLC | Form ADV Part 2A | v. March 2024 Page| 6 program account packet (which includes the account agreement, LPL Form ADV, Part 2A or LPL Form ADV, Part 2A - Appendix 1, as applicable). SWM is a wrap fee account in a wrap fee program sponsored by Forge. For more information including information on the advisory services, fees that apply, the types of investments available and the potential conflicts of interest presented please see Forge’s Wrap Fee Program Brochure (Form Part 2A - Appendix 1). ASSETS UNDER MANAGEMENT As of December 31, 2022, we have $854,028,314 in discretionary regulatory assets under management.