BS
Brandon B. Schwartz
PERENNIAL FINANCIAL SERVICES
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 4465497
BS
Professional summary
Brandon Blake Schwartz, who also goes by Brandon Schwartz, is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Los Angeles, California and LPL FINANCIAL LLC located in Los Angeles, California.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brandon has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandon Schwartz
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. 05/010/2017 - Perennial Financial Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/20/2017 - 0 Hours Per Month/0 Hours During Securities Trading. 2) 06/15/2017- Perennial Investment Advisors, LLC-investment related- At reported business location(s)- Registered Investment Advisor Hybrid-start 06/01/2017- Hours per month 80/ Hours during trading 40 - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in June 2017. I 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. 3) 07/12/2017- Perennial Investment Advisors, LLC-DBA: Perennial Financial Services-investment related- At reported business location(s)- Registered Investment Advisor DBA-start 07/12/2017- Hours per month 80/ Hours during trading 6 - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in June 2017. I 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. 4) 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.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Blake Schwartz'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
June 12, 2017 - Present
PERENNIAL FINANCIAL SERVICES
Office #1: 11620 Wilshire Boulevard, Suite 400, Los Angeles, CA 90025RIA
CRD#: 286477
Los Angeles, CA
Current
May 4, 2012 - Present
LPL FINANCIAL LLC
Office #1: 11620 Wilshire Blvd. Ste 400, Los Angeles, CA 90025RIA
BD
CRD#: 6413
Los Angeles, CA
Past
May 7, 2012 - September 26, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANTA MONICA, CA
Past
June 1, 2009 - May 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
June 1, 2009 - May 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
GLENDALE, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
GLENDALE, CA
Past
September 9, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
GLENDALE, CA
Past
January 17, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
GLENDALE, 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
California(5/4/2012)
IAR
California(6/12/2017)
Exams
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (6/12/2017 Approved)Upgrade to AdvisorCheck Premium
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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#: 286477Los Angeles, CA 90025TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
