AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
ES

Ethan J. Smith

PERENNIAL FINANCIAL SERVICES
Fresno, CA 93711
CRD#: 8200787
Some features on this profile are disabled
ES
Ethan James SmithPERENNIAL FINANCIAL SERVICES

Professional summary

Ethan James Smith is a registered financial advisor currently at PERENNIAL FINANCIAL SERVICES located in Fresno, California and LPL FINANCIAL LLC located in Fresno, California.

Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. Ethan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan James Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 8, 2026 - Present

PERENNIAL FINANCIAL SERVICES

Office #1: 7815 N Palm Ste 220, Fresno, CA 93711
RIA
CRD#: 286477
Fresno, CA
Current

February 23, 2026 - Present

LPL FINANCIAL LLC

Office #1: 7815 N Palm Ste 220,, Fresno, CA 93711
RIA
BD
CRD#: 6413
FRESNO, 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
(4/10/2026)
IAR
California
(5/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/10/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2026
Securities Industry Essentials Examination
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)
Loading...

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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (5/28/2025)
FORM ADV PART 2A, APP 1 - WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,833
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#: 286477Fresno, CA 93711

TRUST BUT VERIFY

Monitor Ethan Smith

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Pershing Sayers III
John SayersAdvisorCheck Check Mark
PRIME CAPITAL FINANCIAL
IAR
Fresno, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.