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11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-30 |
| TX | RA | APPROVED | 2023-01-30 |
Branch Locations
5260 N Palm Avenue Suite 221, Fresno, CA 93704 • United States
11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-26 |
| TX | RA | APPROVED | 2019-11-26 |
Branch Locations
5260 N Palm Ave Ste 221, Fresno, CA 93704-2210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Fresno | CA | 05/2006 | Present |
| Ford Financial Group, Llc | Fresno | CA | 11/2016 | Present |
| Perennial Financial Services | Los Angeles | CA | 01/2023 | Present |
1. 10/21/2015 - Louie Wealth Management - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - START 09/24/2014 - 0 Hours Per Month - Setup a S Corp and needed to create a name (Louie Wealth Management) to establish it. 2. 11/30/2016 - Ford Financial Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/01/2016 - 160 Hours Per Month/8 Hours During Securities Trading - IAR - I provide investment advisory services through Ford Financial Group, Inc, an independent investment advisor firm. I started this business activity in 11/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 11/17/2021 - Fresno Sneaker Reseller - Not Investment Related - Home Based - Other-Business Owner - Started 12/05/2019 - 10 Hours Per Month/0 Hours During Securities Trading - Selling shoes online as owner. 4. 3/7/2023 - Perennial Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 01/26/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 02/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 3/21/2023 - Perennial Investment Advisors, LLC - DBA: Ford Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 01/26/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 03/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 06/15/2023 - Ford Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/26/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-17 |
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