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2601 Main Street Suite 100, Irvine, CA 92614 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-19 |
| CA | RA | APPROVED | 2015-12-01 |
Branch Locations
19191 S. Vermont Ave, Suite 650, Torrance, CA 90502-4465 • United States
2601 Main Street Suite 100, Irvine, CA 92614 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Torrance | CA | 08/2008 | 11/2017 |
| Trilogy Financial Services | Torrance | CA | 08/2008 | 06/2022 |
| Trilogy Capital, Inc. | Torrance | CA | 11/2015 | Present |
| Lpl Financial Llc | Torrance | CA | 11/2017 | Present |
| Trilogy Financial Services | Torrance | CA | 07/2022 | Present |
1. 12/06/2017 - Trilogy Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 8/5/2008 - 160 Hours Per Month / 40 Hours During Trading. 2. 12/06/2017 - Pacific Financial Mortgage - Not Investment Related - Rolling Hills Estates, CA - Real Estate Rental - Sole owner/ President - R/E Broker. Primarily provides mortgage services. Will assist with buying/selling property if asked to. 4 hours/month - 4 hours/month during securities trading hours 3. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 12/2/15 - 25 Hours Per Month/15 During Securities Trading - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 12/2017. I expect to spend approximately 25 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. 5. 5/8/2020 - No Business Name - Investment Related - Location/Address: NA - Act in a Fiduciary Capacity - Trustee - Started 03/16/2020 - 16 Hours Per Month/0 Hours During Securities Trading - Deceased Sister. 6. 3/16/2021 - The Hudson Family Trust Agreement / Stephanie L. Hudson Revokable Living Trust - Investment Related - Location/Address: NA - Trustee - Managing late Sister's Estate for her family - No compensation 7. 08/15/2022- Trilogy Financial- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Start Date- 09/10/2008- 5 Hours Per Month/ 5 Hours During Securities Trading 8. 04/27/2023 - The RJM Revocable Living Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Start Date 03/05/2023 - 4 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-10 |
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