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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
CO RA APPROVED 2015-11-23
  • TX RA
    APPROVED_RES
    Since 2017-07-19
  • CO RA
    APPROVED
    Since 2015-11-23

Branch Locations

101 University Blvd, Suite 450, Denver, CO 80206 • 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 Denver CO 02/2007 12/2017
Trilogy Financial Services Denver CO 02/2007 Present
Trilogy Capital, Inc. Denver CO 11/2015 Present
Lpl Financial Llc Denver CO 11/2017 Present
  • 02/2007 → 12/2017
    National Planning Corporation
    Denver, CO
  • 02/2007 → Present
    Trilogy Financial Services
    Denver, CO
  • 11/2015 → Present
    Denver, CO
  • 11/2017 → Present
    Lpl Financial Llc
    Denver, CO
Previous Registrations
  • 2008-08-04 → 2017-11-29
    National Planning Corporation
    Denver, CO
Other Businesses

1. 12/06/2017 - ZING FINANCIAL SERVICES LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 6/6/2011 - 10 Hours Per Month/0 Hours During Securities Trading - PRESIDENT. 2. 12/06/2017 - TRILOGY FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 2/16/2007 - 25 Hours Per Month/25 Hours During Securities Trading. 3. 02/14/2018 - Trilogy Capital Inc, - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date 12/1/2015 - 120 Hours Per Month/30 During Securities Trading - I provide investment advisory services through Trilogy Capital Inc,, an independent investment advisor firm. I started this business activity in 12/2017. 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. 07/05/2022 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/07/2007 - 100 Hours Per Month/100 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-29
S63 Uniform Securities Agent State Law Examination 2007-04-03
  • S65 Uniform Investment Adviser Law Examination
    2008-07-29
  • S63 Uniform Securities Agent State Law Examination
    2007-04-03
Other Names
  • Diane Carol Powell
  • Diane Zing
  • Diane Carol Zing
  • Diane P Zing

View on SEC IAPD

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