Scott A. Willingham

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CRD#: 2570971

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.

Scott Andrew Willingham was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1. 5/1/99:E.F. Heagen & Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) and bookkeeping entity for advisory and insurance income. Time spent= 10% per month 2. Insurance Agent- various carriers. Variable and Fixed insurance products. Time spent= 10% per month 2. 12/19/2022 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 80 Hours Per Month/50 Hours During Securities Trading 3. 12/21/2022 - Trilogy Capital, Inc. - DBA: Trilogy Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 07/01/2022 - 60 Hours Per Month/40 Hours During Securities Trading 4. 12/21/2022 - Trilogy Capital, Inc. - DBA: Trilogy Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 07/01/2022 - 60 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 01/2022. I expect to spend approximately 60 hours per month on this activity. Please see the advisory firm's 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.

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

August 15, 2022 - December 11, 2023

TRILOGY CAPITAL, INC.

RIA

CRD#: 281597

SAN JUAN CAPISTRANO, CA

Past

July 22, 1999 - November 16, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

May 12, 1999 - December 20, 2023

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

January 23, 1995 - April 19, 1999

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

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.

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: 7/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1995

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: 1/20/1995

General Securities Representative Examination

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

(714) 843-9977

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

PART 2A BROCHURE 2025 (3/24/2025)

WRAP FEE PROGRAM BROCHURE 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	8,537
AUM (Assets Under Management)	$ 2,633,357,444

Red Flags

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

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Scott A. Willingham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PIM FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TRILOGY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/1999

Series 63

Date: 1/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1995

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

Contact information

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