DS
Dennis F. Shu
PERENNIAL FINANCIAL SERVICES
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 5985564
DS
Professional summary
Dennis Fu-teh Shu, CFP®, who also goes by Dennis Shu, is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Los Angeles, California and LPL FINANCIAL LLC located in Los Angeles, California.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Dennis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Dennis Shu
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. 11/10/2014 - PERENNIAL FINANCIAL & INSURANCE SERVICES/ NON-VARIABLE INSURANCE/ 5%/ LOS ANGELES, CA 2. 11/10/2014 - PERENNIAL FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ LOS ANGELES, CA 3. 11/10/2014 - DENNIS SHU SWIMMING/ OTHER - SWIM INSTRUCTOR/ 1%/ SANTA MONICA, CA 4. 6/15/2017 - Perennial Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/01/2017 - 80 Hours Per Month/40 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 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. 5. 7/12/2017 - Perennial Investment Advisors, LLC - DBA: Perennial Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start 07/12/2017 - 80 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 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. 6. 04/09/2024 - Perennial Legacy LLC, DBA Perennial Legacy Insurance Solutions - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 04/10/2024 - 10 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Fu-teh Shu'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®
CFP®
Start date: 2018
Experience
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
November 10, 2014 - Present
LPL FINANCIAL LLC
Office #1: 11620 Wilshire Blvd. Ste 400, Los Angeles, CA 90025RIA
BD
CRD#: 6413
Los Angeles, CA
Past
November 12, 2014 - September 26, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
July 1, 2013 - November 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
June 27, 2013 - November 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
January 13, 2012 - July 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CENTURY CITY, CA
Past
November 29, 2011 - July 1, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CENTURY CITY, 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(11/10/2014)
IAR
California(6/12/2017)
RR
New Jersey(11/10/2014)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PERENNIAL FINANCIAL SERVICES
CRD#: 286477Los Angeles, CA 90025TRUST BUT VERIFY
Monitor Dennis Shu
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
