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Current Employers
Perennial Financial Services

11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-01-30
TX RA APPROVED 2023-01-30
  • CA RA
    APPROVED
    Since 2023-01-30
  • TX RA
    APPROVED
    Since 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

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-11-26
TX RA APPROVED 2019-11-26
  • CA RA
    APPROVED
    Since 2019-11-26
  • TX RA
    APPROVED
    Since 2019-11-26

Branch Locations

5260 N Palm Ave Ste 221, Fresno, CA 93704-2210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
  • 2017-01-03 → 2023-05-12
    Ford Financial Group
    Fresno, CA
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-14
S63 Uniform Securities Agent State Law Examination 2004-09-17
  • S65 Uniform Investment Adviser Law Examination
    2012-09-14
  • S63 Uniform Securities Agent State Law Examination
    2004-09-17
Designations

View on SEC IAPD

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