Trisha A. Crisco

Some features on this profile are disabled

CRD#: 4655905

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.

Trisha Ann Crisco, CFP®, who also goes by Trisha A Crisco, Trisha Ann Froyum, was a registered financial professional .

Trisha is a previously registered financial professional and started their career in finance in 2005. Trisha had worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Trisha A Crisco | Trisha Ann Froyum

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.

The advisor shows no other business activity.

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®

CFP^®

Certified Financial Planner

Experience

Past

January 19, 2016 - November 6, 2019

CAPITAL BANK AND TRUST COMPANY

RIA

CRD#: 170017

IRVINE, CA

Past

February 11, 2011 - January 19, 2016

CAPITAL GUARDIAN TRUST COMPANY

RIA

CRD#: 108236

RENO, NV

Past

December 10, 2009 - August 27, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WOODLAND HLS, CA

Past

March 29, 2005 - August 27, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WOODLAND HLS, 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".

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 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

Series 63

Date: 6/10/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/28/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL BANK AND TRUST COMPANY

CRD#: 170017 / SEC#: 801-79234

RIA

Registered Investment Advisory firm - (2/26/2014 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

6455 Irvine Center Drive, Irvine, CA 92618-4518

Mailing Address

Phone number

(949) 975-5000

Established

Firm type

Fiscal year end

# of Employees

121

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CBT ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	579
AUM (Assets Under Management)	$ 139,294,588,096

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/26/2022	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Trisha A. Crisco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL BANK AND TRUST COMPANY

CAPITAL GUARDIAN TRUST COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CAPITAL BANK AND TRUST COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/2005

Series 6

Date: 3/28/2005

Current Firm

CAPITAL BANK AND TRUST COMPANY

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL BANK AND TRUST COMPANY

TRUST BUT VERIFY

Similar Advisors