Gary Sussman
TRILOGY CAPITAL
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 4513423
Professional summary
Gary Sussman, CFP® is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in San Diego, California and LPL FINANCIAL LLC located in San Diego, California.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Gary has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. 11/29/2017 - TRILOGY FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 01/25/2002.
2. 02/15/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 12/1/2015 - 12 Hours Per Month/7 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 12 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. 11/8/2018 - Trilogy Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/02/2002 - 160 Hours Per Month/100 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Gary Sussman'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®
CFP®
Start date: 2020
Experience
Current
January 13, 2016 - Present
TRILOGY CAPITAL, INC.
Office #1: 12520 High Bluff Dr Ste 140, San Diego, CA 92130RIA
CRD#: 281597
San Diego, CA
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 12520 High Bluff Dr Ste 140, San Diego, CA 92130RIA
BD
CRD#: 6413
San Diego, CA
Past
November 29, 2017 - April 17, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
September 21, 2005 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SAN DIEGO, CA
Past
March 28, 2002 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SAN DIEGO, 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".
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
IAR
California(1/13/2016)
RR
California(11/29/2017)
RR
Georgia(7/25/2024)
RR
Nevada(2/10/2023)
IAR
Texas(7/19/2017)
RR
Washington(1/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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
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
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.
