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Current Employers
Trilogy Capital, Inc.

2601 Main Street Suite 100, Irvine, CA 92614 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-03-15
MA RA APPROVED 2016-07-05
  • TX RA
    APPROVED_RES
    Since 2025-03-15
  • MA RA
    APPROVED
    Since 2016-07-05

Branch Locations

25 Recreation Drive Suite 106, Hingham, MA 02043 • United States

2601 Main Street Suite 100, Irvine, CA 92614 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-08-16
  • MA RA
    APPROVED
    Since 2022-08-16

Branch Locations

10 Mall Rd Ste 301, Burlington, MA 01803 • United States

10 Mall Rd Ste 301, Burlington, MA 01803 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Denver CO 06/2001 11/2017
Trilogy Capital, Inc. Woburn MA 11/2015 Present
Lpl Financial Llc Woburn MA 11/2017 Present
Trilogy Financial Services Woburn MA 11/2001 10/2022
Trilogy Financial Services Woburn MA 10/2022 Present
  • 06/2001 → 11/2017
    National Planning Corporation
    Denver, CO
  • 11/2015 → Present
    Woburn, MA
  • 11/2017 → Present
    Woburn, MA
  • 11/2001 → 10/2022
    Trilogy Financial Services
    Woburn, MA
  • 10/2022 → Present
    Trilogy Financial Services
    Woburn, MA
Previous Registrations
  • 2004-06-11 → 2017-12-05
    National Planning Corporation
    Denver, CO
    Woburn, MA
    Denver, CO
    Los Angeles, CA
Other Businesses

1. 11/29/2017 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Advisor - Start Date 12/2015. 2. 11/29/2017 - Trilogy Financial Services - Investment Related - At Reported Business Location(s) - Insurance Agency - Agent - Start Date 2001 - Trilogy Financial Services - Managing General Agent, Life, LTC. 3. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 12/2015 - 120 Hours Per Month/ During Securities Trading - I provide investment advisory services through Trilogy Capital, an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 07/14/2022 - My Secure Advantage - Not Investment Related - At Reported Business Location(s) - Other - Teaching/Education - guest speaker - Start Date - 06/13/2022 - 2 Hours Per Month/2 Hours During Securities Trading - My Secure Advantage- teacher.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-14
S63 Uniform Securities Agent State Law Examination 2002-01-09
  • S66 Uniform Combined State Law Examination
    2004-05-14
  • S63 Uniform Securities Agent State Law Examination
    2002-01-09

View on SEC IAPD

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