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Current Employers
Trilogy Capital, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-12-01
  • CA RA
    APPROVED
    Since 2015-12-01

Branch Locations

17011 Beach Blvd #101, Huntington Beach, CA 92647 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Irvine CA 01/2002 11/2017
Trilogy Capital, Inc. Hunington Beach CA 11/2015 Present
Trilogy Financial Services Hunington Beach CA 01/2002 Present
Lpl Financial Llc Hunington Beach CA 11/2017 Present
  • 01/2002 → 11/2017
    National Planning Corporation
    Irvine, CA
  • 11/2015 → Present
    Hunington Beach, CA
  • 01/2002 → Present
    Trilogy Financial Services
    Hunington Beach, CA
  • 11/2017 → Present
    Lpl Financial Llc
    Hunington Beach, CA
Previous Registrations
  • 2006-01-17 → 2017-11-29
    National Planning Corporation
    Corona, CA
    Irvine, CA
    Los Angeles, CA
Other Businesses

1. 11/29/2017 - Trilogy Capital Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Senior VP of Investments - Start Date 12/1/2015. 2. 11/29/2017 - Trilogy Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Senior VP of Investments - Start Date 1/22/2002. 3. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 120 Hours Per Month - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 1/2018. 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. 9/26/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date: 06/01/2002 - 6 Hours Per Month/6 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-21
S63 Uniform Securities Agent State Law Examination 2002-02-22
  • S65 Uniform Investment Adviser Law Examination
    2005-12-21
  • S63 Uniform Securities Agent State Law Examination
    2002-02-22

View on SEC IAPD

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