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John Joseph Palma

ASSET & FINANCIAL PLANNING, LTD·POUGHKEEPSIE, New York
SIE, Series 27, Series 52, Series 53, Series 99TOClean recordASSET & FINANCIAL PLANNING, LTD
11 RAYMOND AVENUE, POUGHKEEPSIE, NY 12603CRD# 5603739Firm CRD# 110709

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John Joseph Palma · POUGHKEEPSIE, NY
Registration
CRD #5603739 · ASSET & FINANCIAL PLANNING, LTD
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 27
Series 52
Series 53
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

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

03

Firm Overview

Firm
ASSET & FINANCIAL PLANNING, LTD
CRD 110709 · SEC 801-20784
AUM
$317M
Regulatory assets under management
Employees
90
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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04

Frequently Asked Questions

What services does John Joseph Palma offer?
John Joseph Palma specializes in Financial Planning, Investment Management. Contact their office in POUGHKEEPSIE, New York for a consultation.
What are John Joseph Palma's credentials?
John Joseph Palma is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John Joseph Palma located?
John Joseph Palma 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 John Joseph Palma charge for services?
John Joseph Palma'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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Other Advisors at ASSET & FINANCIAL PLANNING, LTD

Jenny Alice Duncan
POUGHKEEPSIE, NY
Gerard Morra
POUGHKEEPSIE, NY
Carleton Glen Mcbride
POUGHKEEPSIE, NY
Marshall Ian Baron
POUGHKEEPSIE, NY
Ivan Hugh Greenstein
POUGHKEEPSIE, NY
Carole Ellen Enisman Ryan
POUGHKEEPSIE, NY

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