CF
Carole R. Ford
PERENNIAL FINANCIAL SERVICES
Fresno, CA 93704
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CRD#: 1284016
CF
Professional summary
Carole Riley Ford, CFP® is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Fresno, California and LPL FINANCIAL LLC located in Fresno, California.
Carole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Carole has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Divorce Planning
Estate Planning
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Education Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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
CRS (Client Relationship Summary) - RIA
Click below to view Carole Riley Ford's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1986
Experience
Current
January 30, 2023 - Present
PERENNIAL FINANCIAL SERVICES
Office #1: 5260 N Palm Avenue Suite 221, Fresno, CA 93704RIA
CRD#: 286477
Fresno, CA
Current
August 20, 2002 - Present
LPL FINANCIAL LLC
Office #1: 5260 N Palm Ave Ste 221, Fresno, CA 93704-2210Office #2: 126 Clock Tower Place Ste 208, Carmel By The Sea, CA 93923RIA
BD
CRD#: 6413
Fresno, CA
Past
January 3, 2017 - May 12, 2023
FORD FINANCIAL GROUP
RIA
CRD#: 284977
FRESNO, CA
Past
August 20, 2002 - May 8, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 30, 1998 - September 10, 2002
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
FRESNO, CA
Past
November 16, 1998 - September 10, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
June 23, 1993 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
November 7, 1989 - July 2, 1993
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
May 9, 1988 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
March 27, 1986 - May 23, 1988
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
Past
July 26, 1984 - August 28, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PF
PERENNIAL FINANCIAL SERVICES
ALDANA FINANCIAL | TANAKA WEALTH MANAGEMENT GROUP | SHAEFFER PRIVATE WEALTH MANAGEMENT | ROSE GREENE FINANCIAL SERVICES | PERENNIAL WEALTH ADVISORS, LLC | PERENNIAL INVESTMENT ADVISORS, LLC | PERENNIAL INVESTMENT ADVISORS | PERENNIAL FINANCIAL SERVICES | MCCREADY FINANCIAL GROUP, INC | HORG WEALTH MANAGEMENT | FORD FINANCIAL GROUP | COBALT UNLIMITED
CRD#: 286477 / SEC#: 801-110619
RIA
Registered Investment Advisory firm - (6/12/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/15/2015)
RR
Arizona(8/20/2002)
RR
California(8/20/2002)
IAR
California(1/30/2023)
RR
Colorado(10/27/2025)
RR
Florida(8/20/2002)
RR
Illinois(4/24/2025)
RR
Kentucky(10/2/2025)
RR
Minnesota(12/1/2022)
RR
Nevada(8/20/2002)
RR
North Carolina(10/14/2020)
RR
Ohio(1/23/2024)
RR
Oregon(8/20/2002)
RR
Pennsylvania(8/2/2023)
RR
Texas(10/13/2020)
IAR
Texas(1/30/2023)
RR
Utah(10/27/2025)
RR
Virginia(4/14/2003)
RR
Washington(8/20/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PERENNIAL FINANCIAL SERVICES
ALDANA FINANCIAL | TANAKA WEALTH MANAGEMENT GROUP | SHAEFFER PRIVATE WEALTH MANAGEMENT | ROSE GREENE FINANCIAL SERVICES | PERENNIAL WEALTH ADVISORS, LLC | PERENNIAL INVESTMENT ADVISORS, LLC | PERENNIAL INVESTMENT ADVISORS | PERENNIAL FINANCIAL SERVICES | MCCREADY FINANCIAL GROUP, INC | HORG WEALTH MANAGEMENT | FORD FINANCIAL GROUP | COBALT UNLIMITED
CRD#: 286477 / SEC#: 801-110619
RIA
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Contact information
Main Address
11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025
Mailing Address
Phone number
(310) 445-2504
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,833 |
| AUM (Assets Under Management) | $ 1,898,116,372 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
