Gloria S. Nelund

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CRD#: 2192452

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gloria Sue Nelund, who also goes by Gloria Nelund, was a registered financial professional .

Gloria is a previously registered financial professional and started their career in finance in 1999. Gloria had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gloria Nelund

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 30, 2014 - December 31, 2021

TRILINC ADVISORS, LLC

RIA

CRD#: 166194

MANHATTAN BEACH, CA

Past

July 20, 2007 - November 2, 2010

CAPFI PARTNERS LLC

CRD#: 113795

WASHINGTON, DC

Past

October 21, 2003 - September 15, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 13, 2001 - September 23, 2005

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

LOS ANGELES, CA

Past

August 31, 1999 - October 21, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRILINC ADVISORS, LLC

CRD#: 166194 / SEC#: 801-106816

RIA

Registered Investment Advisory firm - (11/6/2015 Approved)

California

Registered Investment Advisory firm - (12/18/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/30/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2000

General Securities Principal Examination

Current Firm

TRILINC ADVISORS, LLC

CRD#: 166194 / SEC#: 801-106816

RIA

Registered Investment Advisory firm - (11/6/2015 Approved)

California

Registered Investment Advisory firm - (12/18/2015 Terminated)

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Contact information

Main Address

1230 Rosecrans Avenue Suite 605, Manhattan Beach, CA 90266

Mailing Address

Phone number

(310) 997-0580

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

TRILINC ADVISORS ADV 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 285,590,181

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gloria S. Nelund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPFI PARTNERS LLC

DEUTSCHE BANK SECURITIES INC.

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

TRILINC ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2014

Series 63

Date: 10/12/1999

Series 7

Date: 8/30/1999

Series 24

Date: 3/13/2000

Current Firm

TRILINC ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRILINC ADVISORS, LLC

TRUST BUT VERIFY

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