Individual Firm
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STEVEN JON JOLLY
CRD#: 1841114
IA
B
PERENNIAL FINANCIAL SERVICESCRD#: 286477 5260 N Palm Avenue, Suite 221
Fresno, CA 93704
Fresno, CA 93704
LPL FINANCIAL LLCCRD#: 6413 5260 N PALM AVE STE 221
FRESNO, CA 93704-2210
FRESNO, CA 93704-2210
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5/1/2001
Customer Dispute
Denied
State Registrations
B
Alaska 10/4/2018
B
New York 10/4/2018
B
Arizona 10/4/2018
B
Oregon 10/4/2018
B
California 10/4/2018
B
Texas 10/4/2018
IA
California 1/30/2023
IA
Texas 1/30/2023
B
Florida 8/25/2021
B
Washington 6/14/2023
B
Nevada 10/4/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/30/2023
B
Registered with this firm since 10/4/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2018 - 05/12/2023 | FRESNO, CA | |
IA | 07/01/2003 - 10/09/2018 | FRESNO, CA | |
B | 07/01/2003 - 10/09/2018 | FRESNO, CA | |
IA | 07/08/1997 - 07/01/2003 | FRESNO, CA | |
B | 04/17/1995 - 07/01/2003 | NEW YORK, NY | |
B | 01/03/1989 - 05/11/1995 | WEEHAWKEN, NJ | |
B | 06/22/1988 - 01/30/1989 | ||
B | 06/22/1988 - 01/30/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.