Joseph A. Perna

COMPOUND PLANNING

Denver, CO

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CRD#: 5228191

Professional summary

Joseph Anthony Perna, CFP®, who also goes by Joe Perna, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Denver, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Perna

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.

I am a Financial Planner at Motley Fool Wealth Management located at 2000 DUKE STREET SUITE 275 ALEXANDRIA, VA 22314.This is an investment related business and I work approximately 152 hours a month for Motley Fool Wealth Management. I started working for Motley Fool Wealth Management in March of 2014 and I advise clients on financial matters.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Perna'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: 2014

Experience

Current

August 9, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Denver, CO

Past

November 4, 2020 - July 22, 2024

TMF INVESTMENTS

CRD#: 306422

ALEXANDRIA, VA

Past

November 24, 2014 - August 9, 2024

MOTLEY FOOL WEALTH MANAGEMENT, LLC

RIA

CRD#: 165689

Denver, CO

Past

January 3, 2012 - November 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ANNAPOLIS, MD

Past

January 3, 2012 - November 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ANNAPOLIS, MD

Past

June 1, 2009 - November 22, 2011

MORGAN STANLEY

RIA

CRD#: 149777

BETHESDA, MD

Past

June 1, 2009 - November 22, 2011

MORGAN STANLEY

CRD#: 149777

BETHESDA, MD

Past

February 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BETHESDA, MD

Past

February 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BETHESDA, MD

Past

September 18, 2007 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BETHESDA, MD

Past

August 27, 2007 - March 3, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BETHESDA, MD

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".

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 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

California
(11/5/2024)

IAR

Colorado
(8/9/2024)

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

Series 63

Date: 11/13/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/4/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/30/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/22/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/24/2007

General Securities Representative Examination

Current Firm

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

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Contact information

Main Address

115 Broadway 5th Floor, New York, NY 10006

Mailing Address

169 Madison Avenue Suite 15201, New York, NY 10016

Phone number

(888) 533-9364

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPOUND PLANNING-FORM ADV, PART 2A BROCHURE (9/29/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 3,025,356,111

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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Advisor Monitoring

Firm Stability Insights

Joseph A. Perna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Perna's CRS (Customer Relationship Summary).

Certified licenses

Experience

TMF INVESTMENTS

MOTLEY FOOL WEALTH MANAGEMENT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2020

Series 66

Date: 9/10/2007

Series 7TO

Date: 11/4/2020

SIE

Date: 10/30/2020

Series 31

Date: 8/22/2008

Series 7

Date: 8/24/2007

Current Firm

COMPOUND PLANNING, INC.

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPOUND PLANNING, INC.

TRUST BUT VERIFY

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