CC
Caribel Colon
PERENNIAL FINANCIAL SERVICES
ASTORIA, NY
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CRD#: 7155405
CC
Professional summary
Caribel Colon is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Astoria, New York and LPL FINANCIAL LLC located in Astoria, New York.
Caribel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Caribel has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE 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) 09/2024 - Financial Integrity Resource Management Services / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 09/2024 - Cabibel Colon NVI - Non-Variable Insurance / Inv. Related / Astoria , NY 3) 09/03/2024 -Aetna / Outside/W-2 Employment / Non Inv. Related / New York, NY - Start Date 05/24/2024 - 8 Hours Per Month/ 2 Hours during Trading 4) 09/10/2024 - PERENNIAL INVESTMENT ADVISORS, LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 09/04/2024 - 160 Hours Per Month/ 6 Hours During Trading - I provide investment advisory services through Perennial Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in 9/2024. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Caribel Colon'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
September 4, 2024 - Present
PERENNIAL FINANCIAL SERVICES
RIA
CRD#: 286477
ASTORIA, NY
Current
September 3, 2024 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
ASTORIA, NY
Past
September 3, 2024 - September 3, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
Astoria, NY
Past
January 18, 2022 - September 4, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
New York, NY
Past
January 10, 2020 - September 4, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
New York, NY
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
New York(9/3/2024)
IAR
New York(9/4/2024)
RR
North Carolina(10/21/2024)
RR
Pennsylvania(9/4/2024)
IAR
Pennsylvania(9/6/2024)
RR
Virginia(10/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2020
General Securities Representative ExaminationGeneral 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.
