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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

FERDINAND PEREZ PERNIA

Advisor at LPL FINANCIAL LLC

KAILUA KONA, HI | KAILUA-KONA, HI

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Search this name across graphsid dfx:ria:2baa6a09-6028-aec1-3875-eb721ce863b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: May 12, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 10, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jul 10, 1991
First registration: May 12, 1998
Dual registered: yes, broker-dealer
Other names: FERDINAND NOEL PEREZ PERNIA|FERDIE PERNIA
IAPD individual key: 2057003

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 1, 2023	n/a	yes	KAILUA-KONA, HI\|KAILUA KONA, HI\|KAILUA KONA, HI	Current employment
WEALTHCARE ADVISORY PARTNERS LLC	Bd affiliated wealth	May 13, 2019	Jun 15, 2023	no	WEST CHESTER, PA\|Roseville, CA	Previous registration
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	May 11, 2017	May 2, 2019	no	Fremont, CA	Previous registration
PFG ADVISORS	Independent wealth	Jul 15, 2016	Jul 24, 2017	no	FREEMONT, CA\|PHOENIX, AZ	Previous registration
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Nov 30, 2015	Sep 8, 2016	no	Fremont, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 21, 2015	Dec 2, 2015	no	WALNUT CREEK, CA\|DUBLIN, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 6, 2010	Oct 5, 2015	no	FREMONT, CA\|FREMONT, CA\|SAN DIEGO, CA\|SACRAMENTO, CA\|FREMONT, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Aug 9, 2010	no	MOUNTAIN VIEW, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Sep 25, 2008	May 2, 2009	no	MOUNTAIN VIEW, CA	Previous registration
UBS INTERNATIONAL INC.	n/a	Aug 16, 2007	Sep 29, 2008	no	SAN FRANCISCO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 5, 2003	Aug 17, 2007	no	FREMONT, CA\|SAN JOSE, CA\|FREMONT, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 1, 2003	Oct 29, 2003	no	FREMONT, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 12, 1998	Jun 19, 2003	no	SAN JOSE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WEALTHCARE ADVISORY PARTNERS LLC	LPL FINANCIAL LLC	Jun 15, 2023	Jun 1, 2023	-14	Firm change	RIA to ibd
INDEPENDENT FINANCIAL PARTNERS	WEALTHCARE ADVISORY PARTNERS LLC	May 2, 2019	May 13, 2019	11	Firm change	Ibd to RIA
PFG ADVISORS	INDEPENDENT FINANCIAL PARTNERS	Jul 24, 2017	May 11, 2017	-74	Firm change after gap	Other
INDEPENDENT FINANCIAL PARTNERS	PFG ADVISORS	Sep 8, 2016	Jul 15, 2016	-55	Firm change after gap	Other
WELLS FARGO ADVISORS	INDEPENDENT FINANCIAL PARTNERS	Dec 2, 2015	Nov 30, 2015	-2	Firm change	Other
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Oct 5, 2015	Sep 21, 2015	-14	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	Aug 9, 2010	Aug 6, 2010	-3	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
UBS INTERNATIONAL INC.	WAMU INVESTMENTS, INC.	Sep 29, 2008	Sep 25, 2008	-4	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	UBS INTERNATIONAL INC.	Aug 17, 2007	Aug 16, 2007	-1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 29, 2003	Nov 5, 2003	7	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO INVESTMENTS, LLC	Jun 19, 2003	Jul 1, 2003	12	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
125112:171976:CA:2019-05-02	May 2, 2019	May 13, 2019	FREMONT, CA	Firm change

Relationships

Registered with (10)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 6, 2010 to Oct 5, 2015factForm ADV
→ WEALTHCARE ADVISORY PARTNERS LLCRegistered adviserregistration: previous registration
May 13, 2019 to Jun 15, 2023factForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
May 11, 2017 to May 2, 2019factForm ADV
→ PFG ADVISORSRegistered adviserregistration: previous registration
Jul 15, 2016 to Jul 24, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 21, 2015 to Dec 2, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Aug 9, 2010factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 25, 2008 to May 2, 2009factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Aug 16, 2007 to Sep 29, 2008factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 5, 2003 to Aug 17, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 1, 2003 to Oct 29, 2003factForm ADV

Dated events

Occurred
Jun 15, 2023
Advisor changed firm
Ferdinand Perez Pernia left Wealthcare Advisory Partners Llc for Lpl Financial Llc (registered 2023-06-01)
Form ADVobserved 6 days ago