David A. Dick

FINANCIAL PLAN

BELLINGHAM, WA 98225-2956

Some features on this profile are disabled

CRD#: 4470567

Professional summary

David Alden Dick, CFP® is a registered financial advisor currently at FINANCIAL PLAN, INC. located in Bellingham, Washington.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

25% OWNER OF "MUSTARD SEED" RESTAURANT, NOT INVESTMENT RELATED, 214 N MAIN STREET, BUHLER, KS 67522, START DATE: 11/16/17; HOURS DEVOTED TO OTHER BUSINESS: 0; PASSIVE OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alden Dick'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: 2011

Experience

Current

March 7, 2003 - Present

FINANCIAL PLAN, INC.

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

RIA

CRD#: 116073

BELLINGHAM, WA

Past

August 1, 2002 - March 15, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

BELLINGHAM, WA

Past

January 4, 2002 - March 15, 2012

LPL FINANCIAL LLC

CRD#: 6413

BELLINGHAM, WA

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
(3/23/2021)

IAR

Washington
(3/7/2003)

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 66

Date: 7/30/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/6/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/3/2002

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Tylor Balson

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ST LOUIS, MO

Erin Eiras

INDEPENDENT ADVISOR ALLIANCE, LLC

IAR

Jacksonville, FL

Roman Auerbach

EQUITABLE ADVISORS, LLC

Syracuse, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David A. Dick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alden Dick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLAN, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

FINANCIAL PLAN, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/30/2002

Series 31

Date: 10/6/2004

Series 7

Date: 1/3/2002

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

Similar Advisors