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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 2021-06-08
  • CA RA
    APPROVED
    Since 2021-06-08

Branch Locations

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

708C East Grande Avenue, Arroyo Grande, CA 93420 • 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
Edward Jones St Louis MO 08/2018 11/2018
Unemployed Nipomo CA 03/2018 07/2018
Sms Masterminds San Luis Obispo CA 12/2013 02/2018
Raymond James Financial Services, Inc. Arroyo Grande CA 11/2019 06/2021
Unemployed Santa Maria CA 12/2018 11/2019
Raymond James Financial Services Advisors, Inc. Arroyo Grande CA 11/2019 06/2021
Lpl Financial, Llc Arroyo Grande CA 06/2021 Present
Perennial Investment Advisors, Llc Los Angeles CA 06/2021 Present
  • 08/2018 → 11/2018
    St Louis, MO
  • 03/2018 → 07/2018
    Unemployed
    Nipomo, CA
  • 12/2013 → 02/2018
    Sms Masterminds
    San Luis Obispo, CA
  • 11/2019 → 06/2021
    Raymond James Financial Services, Inc.
    Arroyo Grande, CA
  • 12/2018 → 11/2019
    Unemployed
    Santa Maria, CA
  • 11/2019 → 06/2021
    Arroyo Grande, CA
  • 06/2021 → Present
    Lpl Financial, Llc
    Arroyo Grande, CA
  • 06/2021 → Present
    Perennial Investment Advisors, Llc
    Los Angeles, CA
Previous Registrations
Other Businesses

1) 5/2021 - Non-Variable Insurance - Perennial Financial & Insurance Services - Investment Related - 2% - Arroyo Grande, CA 93420 2) 5/2021 - DBA for LPL Business (entity for LPL business) - Perennial Financial Services - Investment Related - Arroyo Grande, CA 93420 3) 6/8/2021 - Perennial Investment Advisors, LLC - DBA: Perennial Financial Services (HYBRID) - Investment Related - At Reported Business Location(s) - IAR - Started 5/2021 - 64 Hours Per Month/20 Hours During Securities Trading - Time Spent 40% - I provide investment advisory services through Perennial Investment Advisors, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 64 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-04
  • S66 Uniform Combined State Law Examination
    2018-10-04
Other Names
  • Robert Douglas Barber
  • Robert Barber
  • Rob Barber

View on SEC IAPD

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