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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 2023-01-30
TX RA APPROVED 2023-01-30
  • CA RA
    APPROVED
    Since 2023-01-30
  • TX RA
    APPROVED
    Since 2023-01-30

Branch Locations

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

5260 N Palm Avenue Suite 221, Fresno, CA 93704 • 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 San Diego CA 10/2009 10/2020
Ford Financial Group, Inc. Fresno CA 10/2020 Present
Lpl Financial, Llc Fresno CA 10/2009 Present
Previous Registrations
  • 2020-10-20 → 2023-05-12
    Ford Financial Group
    Fresno, CA
  • 2006-11-17 → 2008-08-08
    San Diego, CA
Other Businesses

1. 10/16/2020 - FORD FINANCIAL GROUP, INC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ FRESNO, CA 2. 10/16/2020 - SIMONIANS FINANCIAL GROUP/ BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY/ INVESTMENT RELATED/ 1%/ FRESNO, CA 3. 05/17/2023 - Pereninial Investment Advisors LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 05/01/2023 - 40 Hours Per Month/ 6 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 40 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. 05/17/2023 - Ford Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 05/01/2023 - 40 Hours Per Month/ 6 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 40 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. 06/14/2023 - Ford Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/26/2023 - 40 Hours Per Month/ 6 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-16
  • S66 Uniform Combined State Law Examination
    2006-11-16
Designations

View on SEC IAPD

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