Dillon A. Quintana

FINANCIAL PLAN

BELLINGHAM, WA 98225-2956

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CRD#: 7756878

Professional summary

Dillon Augustus Quintana is a registered financial advisor currently at FINANCIAL PLAN, INC. located in Bellingham, Washington.

Dillon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Dillon has worked at 1 firm and has passed the Series 65 exam.

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.

Fairhaven Runners, Inc.; Not investment-related; 1209 11th Street, Bellingham, WA 98225; Retail sales - shoes, apparel, accessories; Shareholder; Start date: 8/15/24; Hours per month: 4-6, Hours during trading: None; Duties: Emails/calls w CPA & Bookkeeper.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dillon Augustus Quintana'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

June 2, 2023 - Present

FINANCIAL PLAN, INC.

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

RIA

CRD#: 116073

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

Washington
(6/2/2023)

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: 5/16/2023

Uniform Investment Adviser Law 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.

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Dillon A. Quintana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dillon Augustus Quintana's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLAN, INC.

Primary Firm SEC Registration

FINANCIAL PLAN, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2023

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

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