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2601 Main Street Suite 100, Irvine, CA 92614 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-03-20 |
| MA | RA | APPROVED | 2017-02-13 |
| CA | RA | APPROVED | 2015-11-23 |
Branch Locations
2601 Main Street Suite 100, Irvine, CA 92614 • United States
2601 Main Street Suite 100, Irvine, CA 92647 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Las Flores | CA | 04/1999 | 12/2017 |
| Trilogy Capital, Inc. | Irvine | CA | 11/2015 | Present |
| Lpl Financial Llc | Irvine | CA | 11/2017 | Present |
| Trilogy Financial Services | Irvine | CA | 01/2012 | Present |
1. Trilogy Financial Services Inc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Trilogy Financial Services Inc - life insurance and fixed annuities. 2. Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 120 Hours Per Month, Chief Compliance Officer - I also provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 12/2015. 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. Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 3/1999- Owner, rental properties. Landlord. Receives rental income. Not investment related. Time spent: 0 hrs/month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-16 |
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