Thomas Christopher Walden

Current Employers

Employment History

• 03/1999 → 11/2017
  National Planning Corporation
  Las Flores, CA
• 01/2015 → Present
  Trilogy Capital Inc
  Irvine, CA
• 11/2017 → Present
  Lpl Financial Llc
  Irvine, CA
• 03/1999 → Present
  Trilogy Financial Services
  Irvine, CA

Previous Registrations

• 2002-01-16 → 2017-12-05
  National Planning Corporation
  Irvine, CA
  Irvine, CA
  Los Angeles, CA

Other Businesses

1. 11/08/2017 - Mazagon - Not Investment Related - 11 ESPALIER DRIVE, FOOTHILL RANCH CA 92610 - Real Estate Rental - Owner/Operator - Start Date 12/19/2011 - 1 Hours Per Month. 2. 2/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start date: 1/5/2018 - 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. 3. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 4. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 10/21/2025 - Osprey, FL - Real Estate Rental - Inv Rel - Home Based - Start date: 7/1/2025 - 4 hrs/mnth 0hr during Trading 6. 10/28/2025 - Total Wealth Concepts, AKA TW Concepts - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 09/01/2025 - 0 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-21
• S63 Uniform Securities Agent State Law Examination
  1997-11-18

Other Names

• Tom Walden