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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-01-18
  • CA RA
    APPROVED
    Since 2023-01-18

Branch Locations

10552 Humbolt Street, Los Alamitos, CA 90720 • United States

Perennial Financial Services

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-08-19
  • CA RA
    APPROVED
    Since 2022-08-19

Branch Locations

10552 Humbolt St., Los Alamitos, CA 90720 • United States

11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brea CA 10/2009 08/2022
Bank Of America,N.A. Seal Beach CA 06/2011 08/2022
Lpl Financial Llc Los Alamitos CA 08/2022 Present
Perennial Investment Advisors, Llc Los Angeles CA 08/2022 Present
Previous Registrations
Other Businesses

1) 08/09/2022 - Aldana Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2015 2) 08/09/2022 - Perennial Financial & Insurance Services - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 07/2022 3) 08/23/2022 - Perennial Investment Advisors, LLC - Investment-Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 07/2022 - 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 08/2022. 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. 4) 08/23/2022 - Perennial Investment Advisors, LLC - Investment-Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date - 07/2022 - 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 08/2022. 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) 04/09/2024 - Perennial Legacy LLC, DBA Perennial Legacy Insurance Solutions - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 04/10/2024 - 10 Hours Per month/ 0 Hours during Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-03
  • S66 Uniform Combined State Law Examination
    2008-01-03

View on SEC IAPD

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