WS
William J. Sosniecki
PERENNIAL FINANCIAL SERVICES
SCOTTSDALE, AZ
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CRD#: 7682050
WS
Professional summary
William J Sosniecki is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Scottsdale, Arizona and LPL FINANCIAL LLC located in Los Angeles, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. William has worked at 4 firms and has passed the Series 66, 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. 10/2025 - Loan Factory Inc - Outside/W-2 Employment - Inv Related - 4 Hour(s)/Month - 4 Hour(s) During Trading - San Jose CA 95122 - OBA Start Date: 10/15/2025 2. 10/2025 - Perennial Financial Services - DBA for LPL Business (entity for LPL business) - Inv Related - 174 Hour(s)/Month - 174 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 11/3/2025 3. 10/2025 - Perennial Legacy Insurance Solutions - Non-Variable Insurance - Inv Related - 174 Hour(s)/Month - 174 Hour(s) During Trading - Los Angeles CA 90025 - OBA Start Date: 11/03/2025
CRS (Client Relationship Summary) - RIA
Click below to view William J Sosniecki'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
November 3, 2025 - Present
PERENNIAL FINANCIAL SERVICES
RIA
CRD#: 286477
SCOTTSDALE, AZ
Current
November 3, 2025 - Present
LPL FINANCIAL LLC
Office #1: 11620 Wilshire Blvd. Ste 400, Los Angeles, CA 90025RIA
BD
CRD#: 6413
Los Angeles, CA
Past
March 20, 2025 - September 12, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Scottsdale, AZ
Past
March 19, 2025 - September 12, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Scottsdale, AZ
Past
March 16, 2023 - April 1, 2025
MORGAN STANLEY
RIA
CRD#: 149777
GILBERT, AZ
Past
February 14, 2023 - April 1, 2025
MORGAN STANLEY
BD
CRD#: 149777
GILBERT, AZ
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
IAR
Arizona(11/3/2025)
RR
Arizona(11/5/2025)
RR
California(11/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/14/2023
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.
