James R. Young

TRILOGY CAPITAL

IRVINE, CA 92614

Some features on this profile are disabled

CRD#: 4355599

Professional summary

James Robert Young is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in Irvine, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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. 12/05/2017 - Trilogy Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Agent - Start Date 2/26/2001 - Time Spent 10% - Life/Term, LTC, DI, Fixed Annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Young'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

Past

November 29, 2017 - April 13, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

November 29, 2017 - December 31, 2021

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

December 8, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

IRVINE, CA

Past

December 8, 2010 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

IRVINE, CA

Past

February 3, 2006 - December 7, 2010

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

IRVINE, CA

Past

April 2, 2001 - December 7, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

IRVINE, 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.

Highlighted states indicate IAR registrations

IAR

California
(12/1/2015)

IAR

Texas
(1/5/2023)

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: 8/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/2001

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: 5/10/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/31/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 5/1/2009

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2008

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. Young

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Young's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

TRILOGY CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2005

Series 63

Date: 4/14/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2005

Series 6

Date: 3/31/2001

Series 51

Date: 5/1/2009

Series 24

Date: 4/28/2008

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

Similar Advisors