William A. Entwistle

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CRD#: 1277637

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Augustus Entwistle III, who also goes by William A Entwistle III, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1984. William had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William A Entwistle Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 22, 2016 - March 27, 2018

FORBES FINANCIAL PLANNING, INC.

RIA

CRD#: 143912

Wakefield, RI

Past

July 21, 2003 - December 31, 2016

ENTWISTLE FINANCIAL LIFE PLANNING

RIA

CRD#: 124587

WAKEFIELD, RI

Past

May 17, 1994 - February 18, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

WAKEFIELD, RI

Past

May 17, 1994 - February 18, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 6, 1991 - May 23, 1994

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

August 11, 1989 - August 6, 1991

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

June 29, 1989 - May 24, 1994

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 20, 1987 - August 15, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 23, 1986 - November 3, 1987

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

August 5, 1985 - April 28, 1986

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

June 18, 1984 - August 20, 1985

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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".

FORBES FINANCIAL PLANNING, INC.

CRD#: 143912 / SEC#: 801-117958

RIA

Registered Investment Advisory firm - (1/21/2020 Approved)

Florida

Registered Investment Advisory firm - (1/23/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/23/2020 Terminated)

Rhode Island

Registered Investment Advisory firm - (1/23/2020 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 9/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FORBES FINANCIAL PLANNING, INC.

CRD#: 143912 / SEC#: 801-117958

RIA

Registered Investment Advisory firm - (1/21/2020 Approved)

Florida

Registered Investment Advisory firm - (1/23/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/23/2020 Terminated)

Rhode Island

Registered Investment Advisory firm - (1/23/2020 Terminated)

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Contact information

Main Address

660 Main Street Unit C-3, East Greenwich, RI 02818

Mailing Address

Phone number

(401) 885-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORBES FINANCIAL PLANNING BROCHURE (FORM ADV PART 2A) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	867
AUM (Assets Under Management)	$ 195,512,970

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.

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Advisor Monitoring

Firm Stability Insights

William A. Entwistle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ENTWISTLE FINANCIAL LIFE PLANNING

LPL FINANCIAL LLC

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

LINSCO FINANCIAL GROUP, INC.

CARDELL & ASSOCIATES, INCORPORATED

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

FORBES FINANCIAL PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1995

Series 63

Date: 9/13/1985

Series 7

Date: 11/16/1985

Series 6

Date: 6/15/1984

Current Firm

FORBES FINANCIAL PLANNING, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORBES FINANCIAL PLANNING, INC.

TRUST BUT VERIFY

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