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11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-30 |
| TX | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-16 |
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