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Detailed Report
MICHAEL J SERIO
MICHAEL JOSEPH SERIO
CRD#: 1302536
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Investment Adviser
TRILOGY CAPITAL, INC.CRD#: 281597 101 University Blvd.
Suite 450
Denver, CO 80206
Registration History
20002002200420062008201020122014201620182020202220242026IATRILOGY CAPITAL, INC. (CRD# 281597)2024 - Present (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2010 - 2011 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2010 (3 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)IASTEIN ROE INVESTMENT COUNSEL, INC. (CRD# 109644)2000 - 2004 (3 years)
License(s)

State Registrations

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Colorado 7/24/2024
Current Registration(s)
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TRILOGY CAPITAL, INC. (CRD#:281597)
101 University Blvd. Suite 450, Denver, CO 80206
Registered with this firm since 7/24/2024
Previous Registration(s)
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 06/07/2010 - 12/08/2011 J.P. MORGAN SECURITIES LLC (CRD#:79) DENVER, CO
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 05/29/2007 - 05/24/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DENVER, CO
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 08/06/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) DENVER, CO
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 12/22/2000 - 06/24/2004 STEIN ROE INVESTMENT COUNSEL, INC. (CRD#:109644) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.