Unclaimed Profile

Carole Ellen Enisman Ryan

ASSET & FINANCIAL PLANNING, LTD·POUGHKEEPSIE, New York

SIE, Series 3, Series 6, Series 7, Series 24, Series 62, Series 63, Series 65, Series 99TOClean record28 years registeredASSET & FINANCIAL PLANNING, LTD

11 RAYMOND AVENUE, POUGHKEEPSIE, NY 12603CRD# 1201809Firm CRD# 110709

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Carole Ellen Enisman Ryan · POUGHKEEPSIE, NY

Registration

CRD #1201809 · ASSET & FINANCIAL PLANNING, LTD · 28 years registered

Brand Profile

Not yet started

Career History

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Dec 2019 – present

NATIONAL ASSET MANAGEMENT, INC.

Jun 2019 – Dec 2019

FORT LAUDERDALE, FL

ASSET & FINANCIAL PLANNING, LTD

Jan 1998 – May 2013

POUGHKEEPSIE, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 6

Series 7

Series 24

Series 62

Series 63

Series 65

Series 99TO

Registration record

First registered · January 16, 1998

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ASSET & FINANCIAL PLANNING, LTD

CRD 110709 · SEC 801-20784

AUM

$317M

Regulatory assets under management

Employees

2,395 client accounts

Services offered by ASSET & FINANCIAL PLANNING, LTD

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ASSET & FINANCIAL PLANNING, LTD →

Introduction

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Frequently Asked Questions

What services does Carole Ellen Enisman Ryan offer?

Carole Ellen Enisman Ryan specializes in Financial Planning, Investment Management. Contact their office in POUGHKEEPSIE, New York for a consultation.

What are Carole Ellen Enisman Ryan's credentials?

Carole Ellen Enisman Ryan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Carole Ellen Enisman Ryan located?

Carole Ellen Enisman Ryan is based in POUGHKEEPSIE, New York, working with ASSET & FINANCIAL PLANNING, LTD. Their office serves clients in the POUGHKEEPSIE metropolitan area and surrounding communities.

How does Carole Ellen Enisman Ryan charge for services?

Carole Ellen Enisman Ryan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASSET & FINANCIAL PLANNING, LTD?

ASSET & FINANCIAL PLANNING, LTD has approximately 90 employees and manages $317M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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