RB
Robert D. Barber
PERENNIAL FINANCIAL SERVICES
ARROYO GRANDE, CA 93420
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CRD#: 6989583
RB
Professional summary
Robert Douglas Barber, who also goes by Rob Barber, Robert Douglas Barber, Robert Barber, is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Arroyo Grande, California and LPL FINANCIAL LLC located in Arroyo Grande, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Barber | Robert Douglas Barber | Robert Barber
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) 5/2021 - Non-Variable Insurance - Perennial Financial & Insurance Services - Investment Related - 2% - Arroyo Grande, CA 93420 2) 5/2021 - DBA for LPL Business (entity for LPL business) - Perennial Financial Services - Investment Related - Arroyo Grande, CA 93420 3) 6/8/2021 - Perennial Investment Advisors, LLC - DBA: Perennial Financial Services (HYBRID) - Investment Related - At Reported Business Location(s) - IAR - Started 5/2021 - 64 Hours Per Month/20 Hours During Securities Trading - Time Spent 40% - I provide investment advisory services through Perennial Investment Advisors, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 64 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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Douglas Barber'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 8, 2021 - Present
PERENNIAL FINANCIAL SERVICES
Office #1: 708c East Grand Avenue, Arroyo Grande, CA 93420RIA
CRD#: 286477
ARROYO GRANDE, CA
Current
June 7, 2021 - Present
LPL FINANCIAL LLC
Office #1: 708c E Grand Ave, Arroyo Grande, CA 93420RIA
BD
CRD#: 6413
Arroyo Grande, CA
Past
November 26, 2019 - June 9, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ARROYO GRANDE, CA
Past
November 26, 2019 - June 9, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ARROYO GRANDE, CA
Past
October 5, 2018 - December 5, 2018
EDWARD JONES
RIA
CRD#: 250
Santa Maria, CA
Past
September 13, 2018 - December 5, 2018
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(6/7/2021)
IAR
California(6/8/2021)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PERENNIAL FINANCIAL SERVICES
CRD#: 286477Arroyo Grande, CA 93420TRUST BUT VERIFY
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