James B. Twining

FINANCIAL PLAN

BELLINGHAM, WA 98225-2956

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CRD#: 1225894

Professional summary

James Barber Twining, CFP®, who also goes by Jamie Twining, is a registered financial advisor currently at FINANCIAL PLAN, INC. located in Bellingham, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 5 firms and has passed the Series 63, Series 31, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Retirement Income Management

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Estate Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Jamie Twining

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Barber Twining'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

August 13, 1997 - Present

FINANCIAL PLAN, INC.

Office #1: 11 Bellwether Way, Suite 301, Bellingham, WA 98225-2956

RIA

CRD#: 116073

BELLINGHAM, WA

Past

March 19, 1996 - March 15, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

BELLINGHAM, WA

Past

March 11, 1996 - March 15, 2012

LPL FINANCIAL LLC

CRD#: 6413

BELLINGHAM, WA

Past

January 6, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 6, 1984 - March 11, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 6, 1984 - March 11, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

FINANCIAL PLAN, INC.

CRD#: 116073 / SEC#: 801-77339

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

Washington

Registered Investment Advisory firm - (3/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/14/2016)

IAR

Washington
(8/13/1997)

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.

Exams

State Security Law Exam

Series 63

Date: 1/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/15/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/6/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/11/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/7/1996

General Securities Principal Examination

Current Firm

FINANCIAL PLAN, INC.

CRD#: 116073 / SEC#: 801-77339

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

Washington

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

11 Bellwether Way, Suite 301, Bellingham, WA 98225-2956

Mailing Address

Phone number

(360) 714-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	3,742
AUM (Assets Under Management)	$ 1,230,502,053

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James B. Twining

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Barber Twining's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FINANCIAL PLAN, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/4/1984

Series 31

Date: 7/15/1998

Series 7

Date: 8/17/1985

Series 22

Date: 7/6/1984

Series 6

Date: 1/4/1984

Series 53

Date: 10/11/2005

Series 24

Date: 5/7/1996

Current Firm

FINANCIAL PLAN, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLAN, INC.

TRUST BUT VERIFY

Contact information

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