Michael C. Loo

TRILOGY CAPITAL

IRVINE, CA 92614

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CRD#: 2935844

Professional summary

Michael Christopher Loo, who also goes by Michael Loo, Mike Loo, is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in Irvine, California and LPL FINANCIAL LLC located in Irvine, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Loo | Mike Loo

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. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 12/01/2015 - 59 Hours Per Month - Time Spent 50% - 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 50 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. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 8/1/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Christopher Loo'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

December 1, 2015 - Present

TRILOGY CAPITAL, INC.

Office #1: 2601 Main Street Suite 100, Irvine, CA 92614

RIA

CRD#: 281597

IRVINE, CA

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 2601 Main St Ste 100, Irvine, CA 92614-6277

RIA

CRD#: 6413

IRVINE, CA

Past

November 29, 2017 - April 17, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

January 17, 2006 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

IRVINE, CA

Past

July 3, 2002 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

IRVINE, CA

Past

August 26, 1997 - March 24, 2000

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, 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.

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

IAR

California
(12/1/2015)

California
(11/29/2017)

Georgia
(5/30/2024)

Hawaii
(8/24/2022)

Minnesota
(11/29/2017)

Nevada
(11/29/2017)

IAR

Texas
(7/18/2017)

Texas
(11/29/2017)

Washington
(6/6/2024)

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: 7/13/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/2002

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: 12/13/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/2002

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

(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

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

Michael C. Loo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Christopher Loo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

TRILOGY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2005

Series 63

Date: 7/12/2002

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2004

Series 6

Date: 7/2/2002

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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