ST
Shirley C. Tan
PERENNIAL FINANCIAL SERVICES
Glendale, CA 91203
Some features on this profile are disabled
CRD#: 5562662
ST
Professional summary
Shirley Co Tan, AIF®, who also goes by Shirley T Chan, Shirley T Naiem, is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Glendale, California and LPL FINANCIAL LLC located in Glendale, California.
Shirley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Shirley has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shirley T Chan | Shirley T Naiem
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) 01/08/2016: Real Estate License - Mortgage/Real Estate Services - Investment Related - 8261 Jayseel Street, Sunland, CA 91040 - Start 11/01/2015 - 1 Hr/Mo; 1 Hours During Securities Trading; 1% Time Spent - Real Estate License. (2) 8/22/2017: Perennial Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/18/2017 - 160 Hours Per Month/5 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in August 2017. 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. (3) 8/22/2017: Perennial Investment Advisors, LLC - DBA: Perennial Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/18/2017 - 160 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in August 2017. 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) 8/22/2017: Perennial Financial Services, LLC - DBA: Perennial Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/18/2017 - 160 Hours Per Month/5 Hours During Securities Trading. (5) 9/21/2017: Perennial Financial & Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 09/05/2017 - 10 Hours Per Month/1 Hour During Securities Trading. (6) 2/26/2020 - Lifewave - Not Investment Related - Home Based - Other-Lifewave MLM - Started 01/13/2020 - 2 Hours Per Month/0 Hours During Securities Trading. (7) 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 Shirley Co Tan'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
August 21, 2017 - Present
PERENNIAL FINANCIAL SERVICES
Office #1: 201 N. Brand Blvd Suite 200, Glendale, CA 91203RIA
CRD#: 286477
Glendale, CA
Current
January 8, 2016 - Present
LPL FINANCIAL LLC
Office #1: 201 N. Brand Blvd Ste 200, Glendale, CA 91203RIA
BD
CRD#: 6413
Glendale, CA
Past
January 18, 2017 - September 5, 2017
LAKE AVENUE FINANCIAL, LLC
RIA
CRD#: 168946
PASADENA, CA
Past
May 11, 2016 - December 31, 2016
LAKE AVENUE FINANCIAL, LLC
RIA
CRD#: 168946
Pasadena, CA
Past
December 1, 2008 - January 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WOODLAND HILLS, CA
Past
September 18, 2008 - January 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WOODLAND HILLS, 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(1/8/2016)
IAR
California(8/21/2017)
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
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
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.
