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AS

Alan R. Simeon

PERENNIAL FINANCIAL SERVICES
LOS ANGELES, CA 90025
CRD#: 2468886
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AS
Alan Ranier SimeonPERENNIAL FINANCIAL SERVICES

Professional summary

Alan Ranier Simeon is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Los Angeles, California and LPL FINANCIAL LLC located in Arroyo Grande, California.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Ranier Simeon's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 2, 2024 - Present

PERENNIAL FINANCIAL SERVICES

Office #1: 11620 Wilshire Boulevard Suite 400, Los Angeles, CA 90025
RIA
CRD#: 286477
LOS ANGELES, CA
Current

May 2, 2024 - Present

LPL FINANCIAL LLC

Office #1: 708c E Grand Ave, Arroyo Grande, CA 93420
RIA
BD
CRD#: 6413
ARROYO GRANDE, CA
Past

May 2, 2024 - May 2, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

August 29, 2008 - May 14, 2024

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

May 9, 2006 - May 14, 2024

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

October 3, 1994 - May 3, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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
Arizona
(5/10/2024)
RR
California
(5/2/2024)
IAR
California
(5/3/2024)
RR
Colorado
(5/6/2024)
RR
Florida
(5/3/2024)
RR
Georgia
(5/6/2024)
RR
Idaho
(5/2/2024)
RR
Illinois
(5/14/2024)
RR
Michigan
(5/6/2024)
RR
Minnesota
(5/15/2024)
RR
Montana
(5/7/2024)
RR
Nevada
(5/6/2024)
RR
New York
(5/2/2024)
RR
Oregon
(5/3/2024)
RR
Pennsylvania
(5/3/2024)
IAR
Texas
(5/2/2024)
RR
Texas
(5/3/2024)
RR
Utah
(5/2/2024)
RR
Washington
(5/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/1994
Investment Company Products/Variable Contracts Representative Examination
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
Registered Investment Advisory firm - (6/12/2017 Approved)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (5/28/2025)
FORM ADV PART 2A, APP 1 - WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,833
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.

Company Information

PERENNIAL FINANCIAL SERVICES

CRD#: 286477Los Angeles, CA 90025

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