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3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-05 |
Branch Locations
150 S Los Robles Ave Suite 750, Pasadena, CA 91101 • United States
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Trilogy Financial Services | West Covina | CA | 03/2015 | 04/2024 |
| National Planning Corporation | West Covina | CA | 01/2016 | 12/2017 |
| Lpl Financial Llc | West Covina | CA | 11/2017 | 07/2018 |
| Trilogy Capital Inc | Huntington Beach | CA | 03/2015 | 04/2024 |
| Lpl Financial Llc | West Covina | CA | 09/2022 | 04/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2024 | Present |
| Sovran Advisors, Llc | Pasadena | CA | 05/2024 | Present |
| Compass Capital | Pasadena | CA | 07/2024 | Present |
1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 5/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 8/2016 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, ANNUITIES, AND LTC; 3. NAME OF OTHER BUSINESS: COMPASS CAPITAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-01-13 |
| S65 | Uniform Investment Adviser Law Examination | 2016-06-27 |
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