Thomas C. Walden

TRILOGY CAPITAL

Huntington Beach, CA 92647

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CRD#: 2466735

Professional summary

Thomas Christopher Walden, who also goes by Tom Walden, is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in Huntington Beach, California and LPL FINANCIAL LLC located in Irvine, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Tom Walden

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) - RIA

Click below to view Thomas Christopher Walden's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 13, 2016 - Present

TRILOGY CAPITAL, INC.

Office #1: 17011 Beach Blvd #800, Huntington Beach, CA 92647

RIA

CRD#: 281597

Huntington Beach, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 2601 Main St Ste 100, Irvine, CA 92614-6277Office #2: 17011 Beach Blvd Ste 101, Huntington Beach, CA 92647-5995

RIA

CRD#: 6413

IRVINE, CA

Past

June 20, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

November 29, 2017 - April 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

January 16, 2002 - December 5, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

IRVINE, CA

Past

March 26, 1999 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

IRVINE, CA

Past

January 8, 1998 - March 25, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 10, 1997 - January 9, 1998

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

March 24, 1994 - August 19, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

TRILOGY CAPITAL, INC.

E.F. HEAGEN & ASSOCIATES | TRILOGY INVESTMENT SERVICES, LLC | TRILOGY FINANCIAL SERVICES | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/8/2025)

Arizona
(11/29/2017)

Arkansas
(9/30/2019)

IAR

California
(1/13/2016)

California
(11/29/2017)

Colorado
(11/29/2017)

Florida
(11/30/2017)

Georgia
(1/23/2024)

Hawaii
(11/29/2017)

Idaho
(11/29/2017)

Illinois
(11/29/2017)

Indiana
(1/6/2021)

Kentucky
(4/7/2023)

Missouri
(11/29/2017)

Montana
(3/12/2019)

Nebraska
(11/29/2017)

Nevada
(12/12/2017)

New Jersey
(8/13/2020)

New Mexico
(11/29/2017)

New York
(11/29/2017)

North Carolina
(11/29/2017)

Oregon
(12/20/2021)

Pennsylvania
(11/29/2017)

South Carolina
(12/12/2023)

Tennessee
(9/11/2024)

Texas
(11/29/2017)

IAR

Texas
(11/19/2021)

Utah
(1/23/2024)

Virginia
(11/29/2017)

Washington
(11/29/2017)

Wisconsin
(10/5/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRILOGY CAPITAL, INC.

E.F. HEAGEN & ASSOCIATES | TRILOGY INVESTMENT SERVICES, LLC | TRILOGY FINANCIAL SERVICES | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922

RIA

Registered Investment Advisory firm - (11/16/2015 Approved)

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Contact information

Main Address

2601 Main Street Suite 100, Irvine, CA 92614

Mailing Address

Phone number

(949) 221-8105

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 2026 (3/9/2026)

PART 2A BROCHURE (3/9/2026)

Regulatory assets under management

Total Number of Accounts	18,988
AUM (Assets Under Management)	$ 3,210,026,097

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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Advisor Monitoring

Firm Stability Insights

Thomas C. Walden

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Christopher Walden's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SUNAMERICA SECURITIES, INC.

CENTAURUS FINANCIAL, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TRILOGY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1999

Series 63

Date: 11/18/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2000

Series 6

Date: 11/7/1997

FINRA

Current Firm

TRILOGY CAPITAL, INC.

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRILOGY CAPITAL, INC.

TRUST BUT VERIFY

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