Adam Zachary Fort (CRD #6977679) Has Customer Dispute and Criminal Disclosures on FINRA BrokerCheck

Adam Zachary Fort (CRD #6977679) is a broker with customer dispute and criminal disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on May 5, 2026. It reflects one customer dispute and one criminal disclosure. If you invested with Adam Fort and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Adam Fort’s FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On March 17, 2026, a customer alleged Adam Fort did not provide all information needed to make an informed decision about a variable annuity. The customer alleged the recommendation was unsuitable and sought $5,365.83 in damages. Adam Fort FINRA BrokerCheck lists the product as a variable annuity. Northwestern Mutual Investment Services, LLC denied the complaint on April 20, 2026.

Criminal Charges

Adam Fort’s FINRA BrokerCheck Report reflects one criminal disclosure. A summary of the disclosure is below:

On June 27, 2011, a charge for assault and battery by a mob, second degree, was brought in state court. Adam Fort FINRA BrokerCheck lists the court as Greenville County Circuit in Greenville, South Carolina. The disclosure states that the charge was dismissed on November 22, 2011. It also lists the current status as final and the sentence or penalty as no penalty.

Rule Summary #1: FINRA Rule 2330 (Deferred Variable Annuities)

FINRA Rule 2330 applies to deferred variable annuity recommendations. It covers disclosure, suitability review, supervision, and training. A variable annuity dispute may raise questions about whether key terms and risks were explained.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis for a recommendation. The recommendation should fit the customer’s investment profile. Suitability issues may arise when a product has complex terms, costs, or liquidity limits.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Adam Fort:

Is currently registered with Northwestern Mutual Investment Services, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Adam Fort has passed the Series 6 exam. He has also passed the Series 63 exam.

Was previously registered with no securities firms reported on BrokerCheck.

Kurta Law Can Help

If you have worked with Adam Fort and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can help you assess potential causes of action and determine whether your losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Security Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.