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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 |
| CO | RA | APPROVED | 2015-11-23 |
Branch Locations
101 University Blvd, Suite 450, Denver, CO 80206 • 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 |
|---|---|---|---|---|
| Trilogy Financial Services | Denver | CO | 04/2013 | 12/2025 |
| National Planning Corporation | Santa Monica | CA | 04/2013 | 11/2017 |
| Trilogy Capital, Inc. | Denver | CO | 11/2015 | Present |
| Lpl Financial Llc | Denver | CO | 11/2017 | Present |
| Trilogy Financial Services | Denver | CO | 01/2026 | Present |
1. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 120 Hours Per Month - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 10/2017. 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. 5/22/2018 - TRILOGY FINANCIAL - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT - Start Date: 04/15/2013 - 40 Hours Per Month/40 Hours During Securities Trading - Fixed Annuity, Term, Universal Life. 3. 07/05/2022 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/15/2013 - 160 Hours Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-18 |
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