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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 2017-07-19
CA RA APPROVED 2016-01-13
  • TX RA
    APPROVED_RES
    Since 2017-07-19
  • CA RA
    APPROVED
    Since 2016-01-13

Branch Locations

12520 High Bluff Dr Ste 140, San Diego, CA 92130 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation San Diego CA 01/2002 11/2017
Trilogy Capital Inc San Diego CA 01/2016 Present
Lpl Financial Llc San Diego CA 11/2017 Present
Trilogy Financial Services Inc San Diego CA 01/2002 Present
  • 01/2002 → 11/2017
    National Planning Corporation
    San Diego, CA
  • 01/2016 → Present
    San Diego, CA
  • 11/2017 → Present
    Lpl Financial Llc
    San Diego, CA
  • 01/2002 → Present
    Trilogy Financial Services Inc
    San Diego, CA
Previous Registrations
  • 2005-09-21 → 2017-11-29
    National Planning Corporation
    San Diego, CA
    San Diego, CA
    Los Angeles, CA
Other Businesses

1. 11/29/2017 - TRILOGY FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 01/25/2002. 2. 02/15/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 12/1/2015 - 12 Hours Per Month/7 During Securities Trading - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 12 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. 3. 11/8/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/02/2002 - 160 Hours Per Month/100 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-15
S63 Uniform Securities Agent State Law Examination 2002-03-23
  • S66 Uniform Combined State Law Examination
    2005-09-15
  • S63 Uniform Securities Agent State Law Examination
    2002-03-23
Designations

View on SEC IAPD

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