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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 2018-08-31
  • CA RA
    APPROVED
    Since 2018-08-31

Branch Locations

2665 30Th Street Suite #212, Santa Monica, CA 90405 • 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 Santa Monica CA 05/2012 Present
Perennial Investment Advisors, Llc (Dba: Rose Greene Financial) Santa Monica CA 09/2018 Present
  • 05/2012 → Present
    Lpl Financial Llc
    Santa Monica, CA
  • 09/2018 → Present
    Perennial Investment Advisors, Llc (Dba: Rose Greene Financial)
    Santa Monica, CA
Previous Registrations
  • 2009-05-02 → 2010-12-09
    Chase Investment Services Corp.
    Sherman Oaks, CA
    Woodland Hills, CA
    Sherman Oaks, CA
  • 2006-07-13 → 2009-05-02
    Wamu Investments, Inc.
    Sherman Oaks, CA
    Woodland Hills, CA
    Sherman Oaks, CA
    Lakewood, CA
  • 2005-04-04 → 2005-11-01
    Long Beach, CA
Other Businesses

1. 06/19/2012 - ROSE GREENE FINANCIAL SERVICES/ DBA ONLY/ SANTA MONICA, CA 2. 01/22/2013: DBA ONLY / GREENE GROUP FINANCIAL / SANTA MONICA, CA 3. 9/4/2018 - Perennial Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 08/15/2018 - 80 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in Sept 2018. I expect to spend approximately 80 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. 4. 9/4/2018 - Perennial Investment Advisors, LLC - DBA: Rose Greene Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 08/15/2018 - 80 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in Sept 2018. I expect to spend approximately 80 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. 3/18/2020 - Perennial Financial and Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 03/12/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 6. 04/09/2024 - Perennial Legacy LLC, DBA Perennial Legacy Insurance Solutions - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 4/10/2024 - 10 Hrs/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-01
  • S66 Uniform Combined State Law Examination
    2005-04-01

View on SEC IAPD

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