JP
Joseph A. Palma
M HOLDINGS SECURITIES
ALLENTOWN, PA 18104
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CRD#: 6220087
JP
Professional summary
Joseph A Palma, who also goes by Joseph A Palma, Joseph Anthony Palma, Joseph Palma, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in Allentown, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Joseph has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph A Palma | Joseph Anthony Palma | Joseph Palma
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.
1) Cornerstone Financial Consultants, Ltd.; 1802 Hamilton Street, Allentown, PA 18104; 09/03/2019; Advisor; Duties are to place life, variable life, fixed and variable annuities, as well as different investment management accounts with various companies to help clients; Investment Related; 160 hours/month; 160 hours/month during business hours; Wages/Salary. 2) Cornerstone Advisors; 1802 Hamilton Street, Allentown, PA 18104; 08/15/2019; Consultant; Business, estate and insurance planning for family-owned businesses; Investment Related; 165 hours/month; 165 hours/month during business hours; No Compensation (all comp paid through Cornerstone Management Resources, Inc.) 3) Cornerstone Management Resources, Inc.; 1802 Hamilton Street, Allentown, PA 18104; 08/15/2019; Member; Management company for cornerstone advisors; Not Investment Related; 0 hours/month; 0 hours/month during business hours; Expense Reimbursement, Wages/Salary.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph A Palma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph A Palma's 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®
NoneExperience
Current
September 6, 2019 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 4905 Tilghman Street Suite 100, Allentown, PA 18104RIA
BD
CRD#: 43285
ALLENTOWN, PA
Current
September 6, 2019 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 4905 Tilghman Street Suite 100, Allentown, PA 18104RIA
BD
CRD#: 43285
ALLENTOWN, PA
Past
September 12, 2017 - September 5, 2019
MERCAP ADVISORS, INC.
RIA
CRD#: 170092
BETHLEHEM, PA
Past
August 26, 2016 - September 5, 2019
MERCAP SECURITIES, LLC
BD
CRD#: 156607
BETHLEHEM, PA
Past
January 31, 2014 - August 22, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCRANTON, PA
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".
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.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
Colorado(3/3/2022)
RR
Florida(3/9/2021)
RR
Maryland(3/9/2021)
RR
New Jersey(3/13/2020)
RR
New York(3/13/2020)
RR
Ohio(3/9/2021)
RR
Pennsylvania(9/6/2019)
IAR
Pennsylvania(9/6/2019)
RR
South Carolina(1/2/2024)
RR
South Dakota(3/5/2021)
RR
Virginia(9/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1125 N.w. Couch Street Suite 900, Portland, OR 97209
Mailing Address
P.o. Box 2207, Portland, OR 97208-2207
Phone number
(888) 520-6784
Established
Oregon since 03/21/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,442
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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
M HOLDINGS SECURITIES, INC.
CRD#: 43285Allentown, PA 18104TRUST BUT VERIFY
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