Dennis Shu, financial advisor Los Angeles CA
93 score

Dennis Shu

CRD Number: 5985564
Current Firm: Perennial Financial Services

Dennis Shu (CRD# 5985564) is an Investment Advisor Representative working at Perennial Financial Services in Los Angeles, CA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Perennial Financial Services Los Angeles, CA Jun 2017 - Current < 1
Lpl Financial, LLC Los Angeles, CA Nov 2014 - Current 3
Perennial Financial & Insurance Services, LLC Los Angeles, CA Nov 2014 - Current 3
Wells Fargo Advisors, LLC El Segundo, CA Jun 2013 - Nov 2014 1
Bank Of America, N.a. Century City, CA Mar 2012 - Jun 2013 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Century City, CA Sep 2011 - Mar 2012 < 1
Dennis Shu Swimming Santa Monica, CA Jan 2005 - Sep 2011 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2012
Contact Info for Dennis F. Shu
Phone Number: 310-445-2504
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    144
    MILLIONS
  • Total Number of Accounts
    724
    ACCOUNTS
  • Average Account Value
    $199,309
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, ID, NY, TX

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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