Steven J. Jolly
PERENNIAL FINANCIAL SERVICES | Wealth Advisor
Fresno, CA 93704
Some features on this profile are disabled
CRD#: 1841114
Professional summary
Steven Jon Jolly, AIF® is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Fresno, California and LPL FINANCIAL LLC located in Fresno, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
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) 10/04/2018 - DBA for LPL Business (entity for LPL business) - Ford Financial Group - 100% - INVESTMENT RELATED - FRESNO, CA 93704 2)10/04/2018 - Non-Profit Board Member - Fresno County Employees Retirement Associates (FCERA) - 4HRS/MO - NOT INVESTMENT RELATED - FRESNO, CA 93711 2) 10/04/2018 - Non-Variable Insurance - STEVEN JOLLY - 5% - INVESTMENT RELATED - FRESNO, CA 93704 3) 10/04/2018 - FINRA Arbitrator - STEVEN JOLLY - 1% - INVESTMENT RELATED - WASHINGTON, DC 20006. 4) 10/9/2018 - Ford Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/2018 - IAR - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Ford Financial Group, LLC, an independent investment advisor firm. I started this business activity in 08/2018. 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. 5) 06/10/2019 - Get Jolly Inc. - investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:05/30/2019 - 1 hr/mo - 1 hr during trading. 6) 12/01/2017 - Secondary Advisory Board - Hamilton Lane funds-investment related - Member on Secondary Advisory Board- Serve as representative for FCERA pension on the Hamilton Lane funds in which the pension invests - One Presidential Blvd. 4th Floor, Bala Cynwyd, PA 19004 - 0 hr/mo - 0 hr during trading 7) 05/17/2023 - Ford Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 5/1/2023 - 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. 8) 05/17/2023 - Perennial Investment Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/04/2018 - 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. 9) 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 10) 08/01/2023 - JLFK Living Trust - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Co-Trustee - Start Date 06/12/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading 11) 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. 12) California State University Fresno Foundation 401k; Not investment-related; Trustee; Volunteer. 13) City of Fresno Deferred Compensation Plan; Not investment-related; Trustee; Volunteer.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Jon Jolly'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®
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
October 4, 2018 - Present
LPL FINANCIAL LLC
Office #1: 5260 N Palm Ave Ste 221, Fresno, CA 93704-2210RIA
BD
CRD#: 6413
Fresno, CA
Past
October 4, 2018 - May 12, 2023
FORD FINANCIAL GROUP
RIA
CRD#: 284977
FRESNO, CA
Past
July 1, 2003 - October 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FRESNO, CA
Past
July 1, 2003 - October 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FRESNO, CA
Past
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
FRESNO, CA
Past
April 17, 1995 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 3, 1989 - May 11, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 22, 1988 - January 30, 1989
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Past
June 22, 1988 - January 30, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Alaska(10/4/2018)
RR
Arizona(10/4/2018)
RR
California(10/4/2018)
IAR
California(1/30/2023)
RR
Florida(8/25/2021)
RR
Nevada(10/4/2018)
RR
New York(10/4/2018)
RR
Oregon(10/4/2018)
RR
Texas(10/4/2018)
IAR
Texas(1/30/2023)
RR
Washington(6/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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
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Company Information
PERENNIAL FINANCIAL SERVICES
Wealth AdvisorCRD#: 286477Fresno, CA 93704TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
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