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JT

James M. Thompson

INTEGRATED FINANCIAL PLANNING SERVICES
Heidelberg, 69117
Some features on this profile are disabled
CRD#: 4786869
JT

Professional summary

James Marshall Thompson, who also goes by Jim Marshall Thompson, is a registered financial professional currently at INTEGRATED FINANCIAL PLANNING SERVICES .

James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Marshall Thompson

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) - BD

Click below to view James Marshall Thompson'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®
None

Experience

Current

May 23, 2006 - Present

INTEGRATED FINANCIAL PLANNING SERVICES

Office #1: Karlstrasse 20, Heidelberg 69117
RIA
BD
CRD#: 17935
Heidelberg,
Past

January 18, 2006 - March 22, 2006

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
HONOLULU, HI
Past

May 17, 2004 - October 24, 2005

INTEGRATED FINANCIAL PLANNING SERVICES

BD
CRD#: 17935
HEIDELBERG,

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".
IF
INTEGRATED FINANCIAL PLANNING SERVICES
BARRY E. SWANSON, CFP | SWANSON, BARRY EARNEST | INTEGRATED FINANCIAL PLANNING SERVICES | IFPS

CRD#: 17935 / SEC#: 801-132001, 8-35120

RIA
Registered Investment Advisory firm - SEC (3/5/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Washington
(6/18/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/14/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INTEGRATED FINANCIAL PLANNING SERVICES
BARRY E. SWANSON, CFP | SWANSON, BARRY EARNEST | INTEGRATED FINANCIAL PLANNING SERVICES | IFPS

CRD#: 17935 / SEC#: 801-132001, 8-35120

RIA
Registered Investment Advisory firm - SEC (3/5/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Karlstrasse 20, Heidelberg 69117
Mailing Address
Karlstrasse 20, Heidelberg 69117 69117
Phone number
011496221-23597
Established
Nevada since 10/29/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
21

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INTEGRATED FINANCIAL PLANNING SERVICES 20250404 (4/4/2025)
INTEGRATED FINANCIAL PLANNING SERVICES 20250121 (1/21/2025)
ADV PART 2A (2/5/2020)

Direct owners and executive officers

NamePositionCRD#
THE ESTATE OF BARRY E. SWANSONOWNER
CUOMO, KATHY POISTFINANCIAL & OPERATIONS PRINCIPAL4877600
HUNTINGTON-SELL, MARCIA OLIVIACHIEF COMPLIANCE OFFICER5534414
KINKADE, GLENN ALANCHIEF EXECUTIVE OFFICER2124318
KINKADE, LYNNE ELAINESECRETARY5074259
KINKADE, LYNNE ELAINEESTATE EXECUTOR5074259

Disclosures

Regulatory Event2

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.

Company Information

INTEGRATED FINANCIAL PLANNING SERVICES

CRD#: 17935Heidelberg 69117

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