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Michael J Serio

Trilogy Capital, Inc.

Irvine, CA

Denver, CO

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Current Employers
Trilogy Capital, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-07-24
  • CO RA
    APPROVED
    Since 2024-07-24

Branch Locations

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

101 University Blvd. Suite 450, Denver, CO 80206 • 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
Wells Fargo Private Bank Denver CO 05/2013 03/2020
Ashton Thomas Scottsdale AZ 03/2020 06/2024
Trilogy Financial Services Denver CO 06/2024 Present
Trilogy Capital, Inc Denver CO 06/2024 Present
  • 05/2013 → 03/2020
    Wells Fargo Private Bank
    Denver, CO
  • 03/2020 → 06/2024
    Ashton Thomas
    Scottsdale, AZ
  • 06/2024 → Present
    Trilogy Financial Services
    Denver, CO
  • 06/2024 → Present
    Trilogy Capital, Inc
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-12-17
S65 Uniform Investment Adviser Law Examination 1993-10-06
  • S63 Uniform Securities Agent State Law Examination
    2004-12-17
  • S65 Uniform Investment Adviser Law Examination
    1993-10-06
Designations
Other Names
  • Michael Joseph Serio

View on SEC IAPD

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Other Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA

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