Sean Luigi Covi

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1999 → 11/2017
  National Planning Corporation
  Denver, CO
• 11/2017 → Present
  Lpl Financial Llc
  Denver, CO
• 12/2017 → 06/2019
  Trilogy Capital, Inc.
  Denver, CO
• 03/1999 → Present
  Trilogy Financial Services
  Denver, CO

Previous Registrations

• 2017-12-08 → 2019-06-03
  Trilogy Capital, Inc.
  Denver, CO
  Irvine, CA
• 2003-04-01 → 2017-11-29
  National Planning Corporation
  Huntington Beach, CA
  Denver, CO
  Denver, CO
  Denver, CO

Other Businesses

1. 07/2016 - Growth Management Group, LLC - Not Investment Related - 101 University Blvd #450 Denver CO 80206 - Other - Relationship Manager/ Senior Advisor- Commissions received-Introduce businesses to specialized tax incentives - Start Date - 15 Hours Per Month. 2. 07/2016 - Stryde Solutions - Not Investment Related - 101 University Blvd #450 Denver CO 80206 - Other - Relationship Manager/ Senior Advisor - Commissions received- Introduce businesses to cost savings audits- 15 Hours Per Month. 3. 05/2005 - No Business Name - Investment Related - 101 UNIVERSITY BLVD #450 DENVER CO 80206 - Non-Variable Insurance - CONSULTANT/OWNER - Commissions received -Consult to attorneys and CPAs on insurance design. - 10 Hours Per Month. 4. 05/2005 - GRANITE INSURANCE & FINANCIAL SERVICES - Investment Related - 101 UNIVERSITY BLVD #450 DENVER CO 80206 - Insurance Agency, Life & Fixed Annuity - Sole Proprietor - Commissions received -10 Hours Per Month. 5. 5/10/2018 - TRILOGY FINANCIAL, INC. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT - Started 11/30/2017 - 50 Hours Per Month/35 Hours During Securities Trading. 6. 9/18/2018 - On Your Mark, Inc. - Not Investment Related - At Reported Business Location(s) - Other-utility cost reduction for manufacturers -On Your Mark works with manufacturers in 31 states to provide engineering studies. Relationship Manager - Commissions received- - 5 Hours Per Month. 7. Notary Public-State of Colorado. Minimal income received. Spends less than 1% of his time each month on this activity. 8. 04/26/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:04/08/2019 - 5 hrs/mo - 5 hrs during trading - Platinum Tax Group - Relationship Manager. 9. 6/25/2019 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 40 Hours Per Month During Securities Trading - Fixed insurance. 10. 2/26/2021 - No Business Name - Investment Related - Home Based & Mexico - Real Estate Rental - Started 12/01/2020 - 2 Hours Per Month During Securities Trading - Fractional ownership condo in Mexico.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-16
• S63 Uniform Securities Agent State Law Examination
  1995-08-01

Designations

• Certified Financial Planner