KT
Kent K. Tanaka
PERENNIAL FINANCIAL SERVICES
SOUTH PASADENA, CA 91030
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CRD#: 3227376
KT
Professional summary
Kent Katsuo Tanaka is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in South Pasadena, California and LPL FINANCIAL LLC located in South Pasadena, California.
Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kent has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
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. 10/20/2017: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.
CRS (Client Relationship Summary) - RIA
Click below to view Kent Katsuo Tanaka'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®
NoneExperience
Current
October 5, 2021 - Present
PERENNIAL FINANCIAL SERVICES
Office #1: 1119 Fremont Ave, South Pasadena, CA 91030RIA
CRD#: 286477
SOUTH PASADENA, CA
Current
October 20, 2017 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
SOUTH PASADENA, CA
Past
October 31, 2019 - October 5, 2021
INTEGRATED WEALTH CONCEPTS LLC
RIA
CRD#: 284656
Pasadena, CA
Past
October 26, 2017 - May 13, 2020
LAKE AVENUE FINANCIAL, LLC
RIA
CRD#: 168946
Glendale, CA
Past
July 20, 1999 - October 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOS ANGELES, CA
Past
June 25, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 25, 1999 - October 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LOS ANGELES, 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(10/20/2017)
RR
California(10/20/2017)
IAR
California(10/5/2021)
RR
Colorado(10/20/2017)
RR
Florida(10/20/2017)
RR
Georgia(10/20/2017)
RR
Hawaii(10/20/2017)
RR
Idaho(8/5/2025)
RR
Illinois(10/20/2017)
RR
Kansas(8/2/2019)
RR
Kentucky(10/20/2017)
RR
Maryland(1/25/2022)
RR
Nevada(4/25/2019)
RR
New Jersey(10/20/2017)
RR
New York(10/20/2017)
RR
Tennessee(10/20/2017)
RR
Texas(10/20/2017)
RR
Washington(10/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PERENNIAL FINANCIAL SERVICES
CRD#: 286477South Pasadena, CA 91030TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
