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Michael Joseph Broker

Michael Joseph Broker

CFP®
TRILOGY CAPITAL
Denver, CO
·CRD# 5460732·18 years experience

Professional Summary

Michael Joseph Broker, CFP®, who also goes by Michael Broker, is a registered financial advisor currently at TRILOGY CAPITAL, INC. located in Denver, Colorado. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Under $50K

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

  • Insurance Planning
  • Comprehensive Financial Planning
  • Estate Planning
  • Tax Planning
  • Retirement Planning

Other Aliases

Michael Broker

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 2012

Years of Experience

18 years in the financial services industry

Current & Past Employments

TRILOGY CAPITAL, INC.·CRD# 281597
RIA
101 University Blvd Suite 450, Denver, CO 80206
November 23, 2015 - Present
LPL FINANCIAL LLC·CRD# 6413
BD
Denver, CO
November 29, 2017 - March 13, 2026
NATIONAL PLANNING CORPORATION·CRD# 29604
RIA
Denver, CO
February 13, 2008 - December 31, 2016
NATIONAL PLANNING CORPORATION·CRD# 29604
BD
Denver, CO
January 1, 2008 - November 29, 2017

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Current Firm

TC
TRILOGY CAPITAL, INC.

E.F. HEAGEN & ASSOCIATES | TRILOGY INVESTMENT SERVICES, LLC | TRILOGY FINANCIAL SERVICES | TRILOGY FINANCIAL | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922
RIA
Registered Investment Advisory firm - SEC (11/16/2015 Approved)

Contact Information

Main Address

2601 Main Street Suite 100, Irvine, CA 92614

Phone Number

(949) 221-8105

# of Employees

74

SEC notice filing (47 States and Territories)

Registered to provide investment advisory services in 47 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (7/23/2026)

Regulatory Assets Under Management

Total Number of Accounts

18,988

AUM (Assets Under Management)

$3,210,026,097

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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 - MJB Financial Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - President - Start Date 1/1/2009 - 160 Hours Per Month / 140 Hours During Trading. 2. 02/21/2018 - Trilogy Capital, Inc. - Investment Related - At Reported Business Location(s) - Investment Advisor Representative - Start Date 12/1/2015 - 120 Hours Per Month - 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 120 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. 3. 1/12/2021 - Fit Financial Approach - Not Investment Related - Home Based - Other-Author - Start Date: 2/15/2021 - 10 Hours Per Month/0 Hours During Securities Trading. 4. 2/2/2022 - Fit Financial Approach - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/24/2021 - 1 Hour Per Month During Securities Trading. 5. 11/16/2022 - University of Denver - Not Investment Related - 2101 S University Blvd Denver, CO 80210 - Teaching - Adjunct Professor - Start Date - 01/09/2023 - 16 Hours Per Month/16 Hours During Securities Trading 6. 04/04/2024 - Trilogy Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Executive Vice President - Start Date: 01/21/2008 - 160 Hours Per Month/100 Hours During Securities Trading.

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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 FINANCIAL | TRILOGY CAPITAL, INC.

CRD#: 281597 / SEC#: 801-106922
RIA
Registered Investment Advisory firm - SEC (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.
IAR
Colorado
(11/23/2015)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2008About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2008About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2008About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 2007About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Dec 2016About the Series 24 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Broker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Michael

  • Insurance Planning
  • Comprehensive Financial Planning
  • Estate Planning
  • Tax Planning
  • Retirement Planning

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Michael Joseph Broker
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