KM
Kathleen D. Muniz
TRILOGY CAPITAL
West Covina, CA 91790
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CRD#: 2956939
KM
Professional summary
Kathleen Dempsey Muniz, who also goes by Kathy Muniz, is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in West Covina, California and LPL FINANCIAL LLC located in West Covina, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathy Muniz
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. 11/29/2017 - Trilogy Financial Services Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/12/2012 - 10 Hours Per Month / 10 Hours During Trading. 2. 02/14/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 12/2/2015 -10 Hours Per Month/10 During Securities Trading - I provide investment advisory services through Trilogy Capital, Inc., an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 10 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. 3. 08/15/2022- Trilogy Financial- Investment Related - At Reported Business Location(s) - Non-Variable Insurance- Start Date- 04/06/1999- 10 Hours Per Month/ 2 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Dempsey Muniz's 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®
NoneExperience
Current
February 23, 2016 - Present
TRILOGY CAPITAL, INC.
Office #1: 1000 Lakes Dr., Ste 325, West Covina, CA 91790RIA
CRD#: 281597
West Covina, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1000 Lakes Dr Ste 325, West Covina, CA 91790RIA
BD
CRD#: 6413
West Covina, CA
Past
August 29, 2025 - September 10, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
January 22, 2014 - October 31, 2016
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
WEST COVINA, CA
Past
April 6, 1999 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WEST COVINA, CA
Past
October 10, 1997 - March 31, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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".
TC
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.RR
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
RR
Arizona(11/29/2017)
IAR
California(2/23/2016)
RR
California(11/29/2017)
RR
New York(11/29/2017)
IAR
Texas(1/5/2023)
RR
Virginia(11/29/2017)
RR
Washington(2/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TC
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)Upgrade to AdvisorCheck Premium
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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
72
SEC notice filing (47 States and Territories)
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.
