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Current Employers
Trilogy Capital, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-12-01
  • CA RA
    APPROVED
    Since 2015-12-01

Branch Locations

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

19191 S. Vermont Ave. Suite 650, Torrance, CA 90502-4465 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
National Planning Corporation Redondo Beach CA 03/1999 11/2017
Trilogy Capital, Inc. Woodland Hills CA 11/2015 Present
Lpl Financial Llc Woodland Hills CA 11/2017 Present
Trilogy Financial Services Woodland Hills CA 11/1999 Present
  • 03/1999 → 11/2017
    National Planning Corporation
    Redondo Beach, CA
  • 11/2015 → Present
    Woodland Hills, CA
  • 11/2017 → Present
    Lpl Financial Llc
    Woodland Hills, CA
  • 11/1999 → Present
    Trilogy Financial Services
    Woodland Hills, CA
Previous Registrations
  • 2006-01-31 → 2016-12-31
    National Planning Corporation
    Torrance, CA
    Woodland Hills, CA
    Torrance, CA
    Torrance, CA
    Woodland Hills, CA
Other Businesses

1. 2/14/2018 - Trilogy Capital, Inc. - DBA: (hybrid) Trilogy Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 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. 2. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 3. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-01-13
S63 Uniform Securities Agent State Law Examination 1995-04-17
  • S65 Uniform Investment Adviser Law Examination
    2006-01-13
  • S63 Uniform Securities Agent State Law Examination
    1995-04-17

View on SEC IAPD

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