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Current Employers
Perennial Financial Services

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-01-08
  • NY RA
    APPROVED
    Since 2025-01-08

Branch Locations

New Yor City, NY • 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
Perennial Financial Services Los Angeles CA 01/2025 Present
Lpl Financial Llc Fort Mill SC 01/2025 Present
Jp Morgan Chase New York City NY 03/2015 12/2024
  • 01/2025 → Present
    Los Angeles, CA
  • 01/2025 → Present
    Lpl Financial Llc
    Fort Mill, SC
  • 03/2015 → 12/2024
    Jp Morgan Chase
    New York City, NY
Previous Registrations
  • 2015-03-26 → 2025-01-09
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    New York, NY
  • 2013-08-05 → 2015-03-18
    Harrisdirect Llc
    Arlington, VA
Other Businesses

1 - 10/14/2024 - Perennial Financial Services - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s). 2 - 10/14/2024 - Perennial Legacy Insurance Solutions - Non-Variable Insurance - Inv Related - 10 Hours/Month - 2 Hours During Trading - NY 11201 - OBA Start Date: 10/14/2024. 3 - 01/14/2025- Perennial Financial Services- Registered Investment Advisor DBA- Advisor- Investment Related - At Reported Business Location(s) - Start Date 10/14/2024- 160 hours per month/ 8 hours during trading- I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 1/2025. 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- 01/14/2025- Perennial Investment Advisors, LLC- Registered Investment Advisor Hybrid- Advisor- Investment Related - At Reported Business Location(s) - Start Date 10/14/2024- 160 hours per month/ 8 hours during trading- I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 1/2025. 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- 02/05/2025- AOK Vakil Corp- Business Entity For Tax/Investment Purposes Only- Not Investment Related - At Reported Business Location(s) - Start Date 01/29/2025- 1 hour per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-08-05
S63 Uniform Securities Agent State Law Examination 2012-04-02
  • S65 Uniform Investment Adviser Law Examination
    2013-08-05
  • S63 Uniform Securities Agent State Law Examination
    2012-04-02

View on SEC IAPD

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