Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-03
CA RA APPROVED 2020-07-30
  • TX RA
    APPROVED
    Since 2025-06-03
  • CA RA
    APPROVED
    Since 2020-07-30

Branch Locations

980 Montecito Dr #108, Corona, CA 92879 • United States

Corona, CA • United States

Trilogy Capital, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-07-18
CA RA APPROVED 2015-11-23
  • TX RA
    APPROVED
    Since 2017-07-18
  • CA RA
    APPROVED
    Since 2015-11-23

Branch Locations

980 Montecito Drive, Suite 108, Corona, CA 92879 • 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 Corona CA 06/2004 11/2017
Trilogy Financial Services, Inc Corona CA 06/2004 Present
Trilogy Capital, Inc Corona CA 11/2015 Present
Lpl Financial Llc Corona CA 11/2017 Present
  • 06/2004 → 11/2017
    National Planning Corporation
    Corona, CA
  • 06/2004 → Present
    Trilogy Financial Services, Inc
    Corona, CA
  • 11/2015 → Present
    Corona, CA
  • 11/2017 → Present
    Corona, CA
Previous Registrations
  • 2006-11-16 → 2017-11-29
    National Planning Corporation
    Corona, CA
    Corona, CA
Other Businesses

1. 11/29/2017 - Trilogy Financial Services - Investment Related - Insurance Agency - senior partner/financial advisor - Start Date 6/24/2004 - Trilogy Financial Services - term, universal life, disability, LTC. 2. 02/14/2018 - Trilogy Capital Inc., - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 12/01/2015 - 120 Hours Per Month/20 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 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 3. 12/26/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/30/2004 - 10 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-13
S63 Uniform Securities Agent State Law Examination 2004-07-21
  • S65 Uniform Investment Adviser Law Examination
    2006-05-13
  • S63 Uniform Securities Agent State Law Examination
    2004-07-21

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Corona, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor