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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 2019-02-19
  • CA RA
    APPROVED
    Since 2019-02-19

Branch Locations

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
Edward Jones St Louis MO 10/2014 02/2019
Lpl Financial, Llc Los Angeles CA 02/2019 Present
Perennial Investment Advisors, Llc Los Angeles CA 02/2019 Present
  • 10/2014 → 02/2019
    St Louis, MO
  • 02/2019 → Present
    Lpl Financial, Llc
    Los Angeles, CA
  • 02/2019 → Present
    Perennial Investment Advisors, Llc
    Los Angeles, CA
Previous Registrations
  • 2015-03-19 → 2019-02-21
    Redondo Beach, CA
    Manhattan Beach, CA
    Redondo Beach, CA
    St Louis, MO
    Los Angeles, CA
Other Businesses

1. 02/19/2019 - PERENNIAL FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED / 100%/ LOS ANGELES, CA. 2. 2/26/2019 - Perennial Investment Advisors, LLC - DBA: Perennial Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 02/01/2019 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in Feb 2019. 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. 3. 4/11/2019 - Perennial Financial & Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/02/2019 - 5 Hours Per Month During Securities Trading. 4. 10/31/2019 - The Estate of Fredrick A. Johnson - Not investment related - 2300 Carnegie Ln unit 1, Redondo Beach, CA 90278 - Act in a Fiduciary Capacity - start date:10/24/2019 - 16 hrs/mo - 0 hrs during trading. 5. 2/12/2020 - A.Johnson, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/01/2019 - 0 Hours Per Month. 6. 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-05
S63 Uniform Securities Agent State Law Examination 2013-08-17
  • S66 Uniform Combined State Law Examination
    2015-01-05
  • S63 Uniform Securities Agent State Law Examination
    2013-08-17
Other Names
  • Amy W Johnson
  • Amy Wang-Yi Johnson

View on SEC IAPD

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