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11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States
708C East Grand Avenue, Arroyo Grande, CA 93420 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Arroyo Grande | CA | 04/1996 | 06/2021 |
| Raymond James Financial Services Advisors, Inc | Arroyo Grande | CA | 01/2009 | 06/2021 |
| Lpl Financial, Llc | Arroyo Grande | CA | 06/2021 | Present |
| Perennial Investment Advisors, Llc | Los Angeles | CA | 06/2021 | Present |
1) 6/2021 - DBA for LPL Business (entity for LPL business) - Perennial Financial Services - Investment Related - Arroyo Grande, CA 93420 2) 5/2021 - Non-Variable Insurance - Perennial Financial & Insurance Services - Investment Related - Arroyo Grande, CA 93420 3) 2/2017 - Real Estate Rental - Michael Fuller - Investment Related - Home Based; 288 Camp Ln Guadalupe, CA 93434; and 4416 Lanera Dr Guadalupe, CA 93434 4) 6/8/2021 - Perennial Investment Advisors, LLC - DBA: Perennial Financial Services (Hybrid) - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 5/2021 - 160 Hours Per Month/6 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 06/2021. 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 - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 4/10/2024 - 10 Hrs/Mo; 0 Hr During Trading. 6) 01/08/2025 - LMUSD - Not Investment Related - Non-Profit Board Member - Grande board chambers - Start Date:12/17/2024 - 5 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-05-14 |
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