Michael J. Broker
TRILOGY CAPITAL
Denver, CO 80206
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CRD#: 5460732
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 and LPL FINANCIAL LLC located in Denver, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered 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.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Estate Planning
Tax Planning
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Michael Broker
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) - Registered Investment Advisor Hybrid - 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. The firm is separate from and independent of LPL Financial. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Broker'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: 2012
Experience
Current
November 23, 2015 - Present
TRILOGY CAPITAL, INC.
Office #1: 101 University Blvd Suite 450, Denver, CO 80206RIA
CRD#: 281597
Denver, CO
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 101 University Blvd Ste 450, Denver, CO 80206RIA
BD
CRD#: 6413
Denver, CO
Past
February 13, 2008 - December 31, 2016
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
DENVER, CO
Past
January 1, 2008 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, CO
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
California(11/29/2017)
IAR
Colorado(11/23/2015)
RR
Colorado(11/29/2017)
RR
Florida(9/21/2020)
RR
Georgia(11/29/2017)
RR
Hawaii(9/21/2020)
RR
Idaho(11/29/2017)
RR
Indiana(3/22/2021)
RR
New York(11/29/2017)
RR
Pennsylvania(8/13/2024)
RR
South Carolina(9/25/2023)
RR
South Dakota(11/29/2017)
RR
Tennessee(9/21/2020)
RR
Virginia(11/29/2017)
RR
West Virginia(11/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
