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Detailed Report
THOMAS CHRISTOPHER WALDEN
TOM WALDEN
CRD#: 2466735
IA
Investment Adviser
B
Broker
TRILOGY CAPITAL, INC.CRD#: 281597 17011 Beach Blvd
#101
Huntington Beach, CA 92647
LPL FINANCIAL LLCCRD#: 6413 17011 BEACH BLVD STE 101
HUNTINGTON BEACH, CA 92647-5995
Registration History
1995200020052010201520202025BLPL FINANCIAL LLC (CRD# 6413)2017 - Present (7 years)IATRILOGY CAPITAL, INC. (CRD# 281597)2016 - Present (9 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)1999 - 2017 (18 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1998 - 1999 (1 year)BCENTAURUS FINANCIAL, INC. (CRD# 30833)1997 - 1998 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1994 - 1994 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2017 - 2018 (<1 year)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2002 - 2017 (15 years)
License(s)

State Registrations

B
Arizona 11/29/2017
B
Nevada 12/12/2017
B
Arkansas 9/30/2019
B
New Jersey 8/13/2020
IA
California 1/13/2016
B
New Mexico 11/29/2017
B
California 11/29/2017
B
New York 11/29/2017
B
Colorado 11/29/2017
B
North Carolina 11/29/2017
B
Florida 11/30/2017
B
Oregon 12/20/2021
B
Georgia 1/23/2024
B
Pennsylvania 11/29/2017
B
Hawaii 11/29/2017
B
South Carolina 12/12/2023
B
Idaho 11/29/2017
B
Tennessee 9/11/2024
B
Illinois 11/29/2017
B
Texas 11/29/2017
B
Indiana 1/6/2021
IA
Texas 11/19/2021
B
Kentucky 4/7/2023
B
Utah 1/23/2024
B
Missouri 11/29/2017
B
Virginia 11/29/2017
B
Montana 3/12/2019
B
Washington 11/29/2017
B
Nebraska 11/29/2017
B
Wisconsin 10/5/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL FINANCIAL LLC (CRD#:6413)
17011 BEACH BLVD STE 101, HUNTINGTON BEACH, CA 92647-5995
FOOTHILL RANCH, CA
Registered with this firm since 11/29/2017
IA
TRILOGY CAPITAL, INC. (CRD#:281597)
17011 Beach Blvd #101, Huntington Beach, CA 92647
Registered with this firm since 1/13/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/29/2017 - 04/17/2018 LPL FINANCIAL LLC (CRD#:6413) IRVINE, CA
IA
 01/16/2002 - 12/05/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) IRVINE, CA
B
 03/26/1999 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) IRVINE, CA
B
 01/08/1998 - 03/25/1999 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 11/10/1997 - 01/09/1998 CENTAURUS FINANCIAL, INC. (CRD#:30833) ANAHEIM, CA
B
 03/24/1994 - 08/19/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.