Kent Katsuo Tanaka

Employer firm

Perennial Financial Services CRD 286477

$2.50B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2005 → 10/2017
  Ameriprise Financial Services, Inc.
  Glendale, CA
• 10/2017 → Present
  Lpl Financial, Llc
  South Pasadena, CA
• 10/2017 → 05/2020
  Lake Avenue Financial, Llc
  Pasadena, CA
• 10/2019 → 10/2021
  Integrated Wealth Concepts, Llc
  Pasadena, MA
• 10/2021 → Present
  Perennial Investment Advisorsllc/Dbaperennial Financial Services
  South Pasadena, CA

Previous Registrations

• 2019-10-31 → 2021-10-05
  Integrated Wealth Concepts Llc
  Pasadena, CA
• 2017-10-26 → 2020-05-13
  Lake Avenue Financial, Llc
  Glendale, CA
  Pasadena, CA
• 1999-07-20 → 2017-10-23
  Ameriprise Financial Services, Llc
  Santa Monica, CA
  Los Angeles, CA
  Glendale, CA

Other Businesses

1. 10/20/2017:HALF DOZEN, LLC--NotInvestRelated--Home Based--Other-BUSINESS OWNER--Sales Associate--Started1/1/2008--1Hour/Month;0HoursDuringSecuritiesTrading--Time Spent 3%--Sell baby clothing & products. 2. 8/16/2021:Tanaka Wealth Management Group--InvestRelated--AtReptBusLoc(s)--DBAfor LPL Bus.(EntityFor LPL bus.)--Started8/1/2021--40Hours/Month;16HoursDuringSecuritiesTrading. 3. 8/16/2021:Tanaka Financial Services--NotInvestRelated--1119 Fremont Ave, South Pasadena, CA 91030--Business Entity For Tax/Investment Purposes Only--Started8/1/2021--40Hours/Month;16HoursDuringSecuritiesTrading--Management fees and brokerage commissions. 4.10/12/2021:Perennial Investment Advisors, LLC--InvestRelated--AtReptBusLoc(s)--RIA/Hybrid--IAR--Started10/1/2021--80Hours/Month;30HoursDuringSecuritiesTrading--Time Spent 50%--I provide investment advisory services through Perennial Investment Advisors, an independent investment advisor firm. I started this business activity in 10/2021 expect to spend approximately 80 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. 5.10/12/2021:Perennial Investment Advisors, LLC--DBA: Perennial Financial Services--InvestRelated--AtReptBusLoc(s)--RIA/DBA--IAR--Started10/1/2021--80Hours/Month;30HoursDuringSecuritiesTrading--Time Spent 50%--I provide investment advisory services through Perennial Investment Advisors, an independent investment advisor firm. I started this business activity in 10/2021 expect to spend approximately 80 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. 6.10/13/2021:Perennial Financial & Insurance Services--InvestRelated--AtReptBusLoc(s)--Non-Variable Insurance--Agent--Started10/1/2021--4Hours/Month;2HoursDuringSecuritiesTrading. 7.10/19/2021:Perennial Investment Advisors, LLC--DBA: Tanaka Wealth Management Group--InvestRelated--AtReptBusLoc(s)--RIA/DBA--IAR--Started10/1/2021--80Hours/Month;40HoursDuringSecuritiesTrading--Time Spent 50%-- I provide investment advisory services through Perennial Investment Advisors, an independent investment advisor firm. I started this business activity in 10/2021 expect to spend approximately 80 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. 8.04/09/2024 - 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 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  1999-05-25