Carole Riley Ford

Current Employers

Employment History

• 08/2002 → Present
  Lpl Financial, Llc
  Fresno, CA
• 08/2011 → 01/2019
  Ford Financial Group, Llc
  Fresno, CA
• 11/2016 → Present
  Ford Financial Group, Llc
  Fresno, CA
• 01/2023 → Present
  Perennial Financial Services
  Los Angeles, CA

Previous Registrations

• 2017-01-03 → 2023-05-12
  Ford Financial Group
  Fresno, CA
• 1998-11-30 → 2002-09-10
  Sentra Securities Corporation
  Fresno, CA

Other Businesses

1. 10/28/2011: FORD FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 6/13/2016: Ford Financial Group, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/01/2016 - 1 Hour Per Month During Securities Trading. 3. 11/30/2016: Ford Financial Group, LLC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/01/2016 - IAR - I provide investment advisory services through Ford Financial Group, LLC, an independent investment advisor firm. I started this business activity in 11/2016. 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. 4. 8/6/2018 - CRF Financial - Investment Related - No services provided. For succession and Tax planning - Business Entity For Tax/Investment Purposes Only - Start Date:06/01/2017 - 0 Hours Per Month/0 Hours During Trading. 5. 05/16/2023 - Ford Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 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. 6. 05/16/2023 - Perennial 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. 7. 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

• S63 Uniform Securities Agent State Law Examination
  1984-08-01

Designations